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Showing 511 to 520 of 711 search results for new Senior Managers Regime.
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Stuart Bayes found guilty of insider dealing
Mr Stuart Bayes was today found guilty of 2 offences of insider dealing, following an 8-week trial at Southwark Crown Court in a prosecution brought by the Financial Conduct Authority (FCA). -
FCA proposes new rules on dealing commission for investment managers
The Financial Conduct Authority (FCA) has today proposed improvements to the rules and new guidance over investment managers’ use of client commissions. These changes will ensure that charges paid by consumers for executing trades and related -
The role of regulation in encouraging good culture
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at the Investment Association Culture Conference, Mansion House, London. -
Temporary permissions regime (TPR) data: solo-regulated firms
This page provides a data summary of the firms under the temporary permissions regime (TPR). -
Sustainability disclosure and labelling regime
Information for firms and trade associations on sustainability disclosure requirements and the anti-greenwashing rule. -
FCA sets out its approach to the share trading obligation
We confirm our approach to the STO) at the end of the Brexit transition period, if mutual equivalence is not agreed. -
An update on our approach to authorisation and our Brexit preparations
Speech by Sarah Rapson, Director, Authorisations at the Association of Professional Compliance Consultants (APCC) Autumn Conference. -
Primary Market Bulletin 44
This edition covers diversity and inclusion, when a prospectus is required in Schemes of Arrangement and regulatory news with multimedia content. -
FCA sets out latest expectations for firms on Brexit
The FCA and regulated firms have been taking steps to prepare in the event the UK leaves the EU on 31 October 2019 without a deal. -
Investor protection under MiFID II
Speech by David Geale, Director of Policy, FCA, delivered at the FCA MiFID II Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.