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Showing 141 to 150 of 187 search results for legal function under the Senior Managers Regime.
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Park First Limited – information for investors
Four companies in the Park First group entered administration on 4 July 2019. Find out what this means for investors. -
Apply to become a pre-paid funeral plans firm
If you’re a new funeral plan provider or intermediary, find out when you need to apply to the FCA for authorisation and how to apply. -
Partly contested cases, the pipeline and AML investigations
FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime. -
Learning the lessons of the past as an industry
That is not a challenge that will disappear, even taking into account the criminal sanction for recklessness in the Banking Reform Act and the presumption of responsibility for senior managers that ... Importantly, the new senior managers regime for -
Has the industry improved ten years on?
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Banking Litigation & Regulation Forum 2018. -
Supporting material for applications by consumer credit, mortgage and other consumer finance firms
If you're applying to be authorised by the FCA, find out what supporting material to include in your application and how to prepare everything. -
A financial system to support the recovery
Speech by Charles Randell, Chair of the FCA, to a virtual roundtable of bank chairs hosted by UK Finance. -
Keeping up with the credit sector: the FCA’s view on the market today
Speech by Jonathan Davidson, Director of Supervision – retail and authorisations at the FCA, at Credit Summit in London. -
Wholesale market policy – a year in review
Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at the ICI Global Trading and Market Structure Conference in London on 8 December 2015. This is the text of the speech as drafted, which may differ from the -
Whistleblowing qualitative assessment survey 2022
This report sets out the findings of a qualitative assessment survey of a small sample of whistleblowers who disclosed their concerns about wrongdoing to the FCA. The survey was conducted to understand whistleblowers’ experience of reporting to