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Showing 421 to 430 of 711 search results for new Senior Managers Regime.

  1. Workplace arrangements and work-related travel

    Statements Published: 27/03/2020 Last modified: 22/09/2022
    This statement applies to all FCA-regulated firms across the UK, including in Scotland, Wales and Northern Ireland

  2. FCA Prudential Supervision Forum

    News stories Published: 21/05/2015 Last modified: 30/03/2018
    FCA Prudential Supervision Forum. News stories First published:. 21/05/2015. Last updated: 30/03/2018. ... We are responsible for the prudential regulation of over 24,000 firms in the UK, covering a wide range of sectors – asset managers, investment

  3. Submit a change in control notification

    Tasks for firms Published: 12/10/2019 Last modified: 13/12/2023
    Find out how to prepare your notification and understand what happens after you submit it.

  4. Defined benefit pension transfers

    Tasks for firms Published: 16/06/2019 Last modified: 19/06/2023
    Read about the FCA's work in defined benefit (DB) transfers to date and the continued supervision in this area.

  5. Dear CEO letter – financial promotions

    News stories Published: 09/01/2019 Last modified: 09/01/2019
    Dear CEO letter – financial promotions. News stories First published:. 09/01/2019. ... The letter reminds firms’ senior managers and boards of what constitutes fair, clear and unambiguous financial promotions.

  6. Why black inclusion matters to us

    Speeches Published: 22/04/2021 Last modified: 22/04/2021
    Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at New Financial.

  7. FCA statement on share trading obligations

    Statements Published: 19/03/2019 Last modified: 19/03/2019
    The FCA's response to ESMA’s statement on share trading obligations under MiFID II.

  8. Contract for differences

    Tasks for firms Published: 09/01/2017 Last modified: 21/04/2023
    Find out about the FCA's expectations of providers and brokers offering retail consumers contract for differences (CFD) products, which include spread betting and rolling spot foreign exchange (FX).

  9. Annual Report 2014/15

    Corporate documents Published: 02/07/2015 Last modified: 25/10/2016
    our launch of Project Innovate to help bring new and innovative financial products and services to the market. ... our review into competition within the wholesale sector. how we have taken significant steps to implement the new Senior Mangers Regime.

  10. Cryptoassets: AML / CTF regime

    Tasks for firms Published: 21/10/2019 Last modified: 15/01/2024
    We are the anti-money laundering and counter-terrorist financing (AML/CTF) supervisor of UK cryptoasset businesses under the money laundering regulations. Learn more about the regime.