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Showing 351 to 360 of 366 search results for function under the Senior Managers Regime.
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Martin Brokers (UK) Limited fined £630,000 for significant failings in relation to LIBOR
Two brokers (including one manager) were central to the collusion, although at least three other individuals (including two managers) spanning two desks played a role. ... The FCA has an overarching strategic objective of ensuring the relevant markets -
Standard Bank PLC fined £7.6m for failures in its anti-money laundering controls
The Financial Conduct Authority (FCA) has fined Standard Bank PLC (Standard Bank) £7,640,400 for failings relating to its anti-money laundering (AML) policies and procedures over corporate customers connected to politically exposed persons (PEPs). -
Financial services regulation and enforcement: recent developments and emerging issues
Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version. -
The FCA and PRA propose measures to boost diversity and inclusion in financial services
In consultation papers published today, the financial regulators have set out proposals to boost diversity and inclusion to support healthy work cultures, reduce groupthink, and unlock talent. -
Ex post Impact Evaluation Framework – Feedback Statement
This feedback statement summarises views received from our stakeholders after the publication of a discussion paper in April 2018, and our responses to them. -
Ensuring the UK remains open for business – requirements for foreign-owned firms
Speech by Clive Adamson, Director of Supervision, at the Association of Foreign Banks, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Implementing MiFID II – multi-firm review of research unbundling reforms
Our rules to implement the Markets in Financial Instruments Directive (MiFID) II require asset managers to explicitly pay for third-party research, and brokers to price and provide research separately. These are the findings of our review on how -
FCA decides to cancel payday lender’s interim permission and ban its sole director
FCA, there was no requirement for senior managers of consumer credit firms to be approved. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well. -
The Financial Conduct Authority censures the Co-operative Bank for listing rules breaches and failing to be open with the regulator
The Financial Conduct Authority (FCA) has issued a public censure against The Co-operative Bank plc (Co-op Bank) for breaching its Listing Rules. The Listing Rules require issuers to ensure that information published is not misleading so that -
Capital Markets Union – a regulator’s perspective
Speech by David Lawton, Director of Markets, Policy and International, at the FCA, delivered at the Deutsche Borse Group ‘Blueprint for a European Capital Markets Union’ event on 27 May 2015 at the ETC venues, London. This is the text of the