Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 671 to 680 of 684 search results for mifid ii.

  1. SM&CR information related to general insurance and protection intermediary firms - June 2022

    FOI Release Date of Release: 10/06/2022
    The FCA provides data on the Senior Managers and Certification Regime (SMCR), in respect of: general insurers and general insurance intermediaries.

  2. PS19/28: Proxy Advisors (Shareholders’ Rights) Regulations Implementation (DEPP and EG)

    Policy and guidance Policy statements Published: 25/11/2019 Last modified: 25/11/2019
    We are setting out changes to our DEPP and EG regulatory guides and processes now that we have new powers to discipline and investigate proxy advisors.

  3. The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures

    Press Releases Published: 01/02/2016 Last modified: 01/02/2016
    The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings.

  4. Review of TCFD-aligned disclosures by premium listed commercial companies

    Multi-firm reviews Published: 29/07/2022 Last modified: 05/08/2022
    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.

  5. PS19/20: Optimising the Senior Managers & Certification Regime and feedback to CP19/4

    Policy statements Published: 26/07/2019 Last modified: 26/07/2019
    The Senior Managers & Certification Regime (SM&CR) was introduced for banking firms in 2016 and insurers in December 2018. It will apply to solo-regulated firms from December 2019.

  6. PS20/16: Updating the Dual-regulated firms Remuneration Code to reflect CRD V

    Policy statements Published: 17/12/2020 Last modified: 25/02/2021
    This PS summarises the feedback we received during the consultation period and our response to it. We set out our final rules on remuneration for dual-regulated firms and revise our previous guidance.

  7. CP15/22 Strengthening accountability in banking: Final rules (including feedback on CP14/31 and CP15/5) and consultation on extending the Certification Regime to wholesale market activities

    Consultation papers Published: 06/07/2015 Last modified: 07/02/2022
    In this paper we follow up on the feedback that we provided earlier this year in Consultation Paper 15/9: Strengthening accountability in banking: a new regulatory framework for individuals

  8. “We are using the eyes and ears of consumers” – FCA published its 2013/14 Annual Report

    Press Releases Published: 10/07/2014 Last modified: 10/07/2014
    The FCA will host its first Annual Public Meeting on 17 July 2014 at the Queen Elizabeth II Conference Centre in London where members of the public can ask questions about

  9. Information about agreements made under the Serious Organised Crime and Police Act 2005 - April 2020

    FOI Release Date of Release: 21/04/2020
    The FCA provides information about agreements made under sections 71 to 74 of the Serious Organised Crime and Police Act 2005 (SOCPA).

  10. Joint FCA and PRA statement on SM&CR and coronavirus: our expectations of dual-regulated firms - December 2020 update

    Published: 18/12/2020 Last modified: 18/01/2021
    In April 2020, we set out our expectations to help dual-regulated firms apply the SM&CR following the exceptional circumstances that arose from the coronavirus pandemic (Covid-19). We offered some additional flexibility in the application of the
Related searches
Related topics