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Showing 461 to 470 of 711 search results for new Senior Managers Regime.

  1. Brexit: further proposals to prepare our regulatory regime

    News stories Published: 08/01/2019 Last modified: 08/01/2019
    Today we have published two further consultations to prepare for the UK’s exit from the EU. We have published proposals to introduce the financial services contracts regime (FSCR) as well as proposed fees for regulating securitisation repositories.

  2. FCA confirms proposals in the event of a no-deal Brexit

    Press Releases Published: 28/02/2019 Last modified: 15/03/2019
    The Financial Conduct Authority (FCA) has published near-final rules and guidance that will apply in the event the UK leaves the EU without an implementation period.  As most of the changes proposed will be made under powers given to the FCA under

  3. Publication of the PRA and FCA review into the failure of HBOS

    Press Releases Published: 19/11/2015 Last modified: 27/06/2019
    The review concludes that ultimate responsibility for the failure of HBOS rests with the Board and senior management. ... In his report, Andrew Green QC recommends that the PRA and FCA should now consider whether any former senior managers of HBOS should

  4. The changing face of financial crime

    Speeches Published: 30/06/2013 Last modified: 05/04/2023
    Speech by Martin Wheatley, Chief Executive, the FCA, at the FCA Financial Crime Conference, London.

  5. Firms and investment funds that were eligible to notify us to use the TPR

    Firms Focus areas Published: 20/08/2020 Last modified: 02/01/2024
    We explain which types of firms and investment funds were eligible to notify us of their intention to use the temporary permissions regime and temporary marketing permissions regime.

  6. Cautious optimism for the post-pandemic world

    Speeches Published: 23/04/2021 Last modified: 23/04/2021
    Speech by Charles Randell, Chair of the FCA and PSR, to the Finance & Leasing Association.

  7. Two plead guilty to insider dealing

    Press Releases Published: 30/11/2016 Last modified: 30/11/2016
    In a case brought by the Financial Conduct Authority (FCA) Manjeet Mohal and Reshim Birk have today pleaded guilty to three counts of insider dealing on day three of their trial at the Central Criminal Court. They will be sentenced on 13 January 2017

  8. Facing the future – challenges and priorities for the FCA

    Speeches Published: 12/11/2020 Last modified: 12/11/2020
    Speech by our CEO, Nikhil Rathi, given at the Address to the City Regulators, Mansion House.

  9. CP13/17: Use of dealing commission

    Consultation papers Published: 25/11/2013 Last modified: 30/11/2021
    We are consulting on proposed changes to our use of dealing commission rules in our Conduct of Business Sourcebook (COBS).

  10. Speech: Beyond economics?

    Insight Published: 25/01/2017 Last modified: 28/02/2017
    behavioural analysis to promote firms’ compliance – a new paper. Third, two examples from public sector management:. ... Futures, to develop a new and better regime.