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Showing 521 to 530 of 711 search results for new Senior Managers Regime.

  1. Financial promotions quarterly data 2023 Q4

    Data Published: 14/02/2024 Last modified: 15/02/2024
    We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 October 2023 and 31 December 2023.

  2. FCA Mortgage Conference – 7 September 2015

    News stories Published: 27/08/2015 Last modified: 27/08/2015
    FCA Mortgage Conference – 7 September 2015. News stories First published:. ... The event is open to an audience of senior managers and senior compliance staff from regulated firms.

  3. From intellectual certainty to debate

    Speeches Published: 25/02/2015 Last modified: 26/02/2015
    In the sense that the volume of trading will move between London, New York, Singapore, Hong Kong and the like, depending on asset class. ... And the linked danger that new issuers, or smaller clients might struggle to negotiate effectively.

  4. Firm handling of complaints during coronavirus

    Firms Published: 01/05/2020 Last modified: 12/05/2021
    Find out about how firms should handle complaints during coronavirus.

  5. Apply to become a sponsor

    Markets Published: 04/05/2016 Last modified: 16/12/2022
    If your firm is looking to act as a Sponsor, there are several steps. Read more about the application process and what happens after you're approved.

  6. FCA confirms extension of the Temporary Permission Regime deadline

    Press Releases Published: 24/05/2019 Last modified: 24/05/2019
    The FCA has today confirmed the deadline for notifications for the temporary permissions regime (TPR) will be extended to the end of 30 October 2019. TPR would allow EEA-based firms passporting into the UK to continue new and existing regulated

  7. Class, cliques and social codes: doing more on diversity

    Speeches Published: 10/10/2019 Last modified: 10/10/2019
    Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Cambridge Centre for Alternative Finance annual conference, Judge Business School.

  8. The commercial importance of culture to industry

    Speeches Published: 02/12/2014 Last modified: 02/12/2014
    long run reality looks more confronting for senior leaders, with demand-side discipline likely to become a far stronger feature of the market. ... And, at the most senior levels, we’re seeing more advice being offered by those teams on business

  9. Maintaining market confidence: an update on Brexit

    Speeches Published: 05/11/2018 Last modified: 05/11/2018
    Speech delivered by Nausicaa Delfas, Executive Director of International at the City and Financial: 3rd UK Financial Services Brexit Summit

  10. Our response to the Parliamentary Commission on Banking Standards

    Documents Published: 07/10/2013 Last modified: 07/10/2013
    The Parliamentary Commission on Banking Standards has set out a new vision for the UK banking sector. ... We will consult on a series of proposals in 2014, including the introduction of a new Senior Persons Regime for deposit-taking institutions.