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Showing 291 to 300 of 711 search results for new Senior Managers Regime.
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Building better bridges: a world-leading investment industry around outcomes customers need
Speech by Charles Randell, FCA chair, at the Investment Association on working to build a world-leading investment industry around customers’ outcomes -
Insurance brokers: serving consumers and businesses in times of uncertainty and change
Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the British Insurance Brokers' Association (BIBA) Conference. -
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. -
Market abuse requires a dynamic response to a changing risk profile
Where there is no alternative to the recognised codes available in the market, firms and Senior Managers who choose not to adhere to the recognised codes, should carefully consider how they ... It was once said that there is nothing new under the sun and -
UBS fined £160 million for significant failings in relation to LIBOR and EURIBOR
The Financial Services Authority (FSA) has fined UBS AG (UBS) £160 million for misconduct relating to the London Interbank Offered Rate (LIBOR) and the Euro Interbank Offered Rate (EURIBOR). This is the largest fine ever imposed by the FSA. -
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. -
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. -
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. -
Sanctions systems and controls: firms’ response to increased sanctions due to Russia’s invasion of Ukraine
We set out key findings from our assessments of sanctions systems and controls in financial services firms. We include examples of good practice and areas for improvement, to help firms deliver even greater compliance with sanctions. -
Investing in outcomes: a regulatory approach to deliver for consumers, markets and competitiveness
Speech by Nikhil Rathi, FCA Chief Executive delivered at the Morgan Stanley European Financials Conference.