Search results
Showing 621 to 630 of 684 search results for mifid ii.
-
PS15/29: Strengthening accountability in banking: Final amendments to the Decision Procedure and Penalties Manual and the Enforcement Guide
It may also be of interest to Solvency II firms and Non-Directive firms. ... The Approved Persons Regime for Solvency II firms and Non-Directive firms will apply from 7 March 2016. -
Information relating to Senior Manager applications 2016-2022 - March 2022
The FCA provides data relating to Senior Manager applications and approvals. -
FS19/7: Building a regulatory framework for effective stewardship
In January 2019, jointly with the Financial Reporting Council (FRC), we published a Discussion Paper, Building a Regulatory Framework for Stewardship (DP 19/1). This Feedback Statement (FS) responds to the views we received, within the scope of our -
CP15/31: Strengthening accountability in banking and insurance: regulatory references
Solvency II insurers in PRA CP26/14. -
FCA seeks industry views on a new prudential regime for UK investment firms
The FCA has published a discussion paper on a prudential regime for UK investment firms. -
Brexit: information for participants in the wholesale markets operating in the UK (including wholesale banks, wholesale markets and asset managers)
Passporting between the UK and EEA states has now ended. Find out more about the other ways in which firms can access the EEA. -
PS15/21: Changes to the Approved Persons Regime for Solvency II firms: Final rules (including feedback on CP14/25, CP15/5 and CP15/16), and consequentials relating to CP15/22 on strengthening accountability in banking
The rules cover two main issues. Firstly reforms to the Approved Persons Regime for firms to whom the PRA have applied the Solvency II regime. ... The second area is a series of minor, consequential amendments across the FCA Handbook as a result of the -
Leonard Ullrich Neumann (clone of FCA authorised firm)
Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this 'clone firm'. -
Monitoring orders and transactions – our expectations of firms
Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum -
CP15/10: Strengthening accountability in banking: UK branches of foreign banks
PRA CP7/15 / FCA CP15/5 on Approach to Non-Executive Directors in banking and Solvency II insurance firms & Application of the Presumption of Responsibility to Senior Managers in banking firms.