Search results
Showing 361 to 366 of 366 search results for function under the Senior Managers Regime.
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Regulated financial advice firms and individuals that attempt to avoid their redress liabilities
The FCA provides information to regulated financial advice firms -
FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly
Ensuring that conflicts of interest are properly managed is central to the relationship of trust that must exist between asset managers and their customers. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well. -
What firms and customers can expect from the consumer duty and other regulatory reforms
Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at City and Financial Global. -
Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator
Benchmark reference rates such as LIBOR also affect payments made under a wide range of other contracts including loans and mortgages. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well. -
Review of TCFD-aligned disclosures by premium listed commercial companies
Following the introduction of a climate-related disclosure rule as a first step to improving the quality and quantity of disclosures across the corporate sector, we outline our preliminary observations and reiterate our expectations. -
General insurance product value and coronavirus (Covid-19) Guidance – update
We set out the findings from our multi-firm review assessing how firms have responded to our general insurance (GI) distribution chain Guidance (further to the product governance rules implemented by the IDD) and coronavirus (Covid-19) value Guidance