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Showing 531 to 540 of 711 search results for new Senior Managers Regime.
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FCA fines LJ Financial Planning Ltd £107,200
Independent financial advice firm is fined for providing its customers with unsuitable pension switching and transfer advice and failing to manage its conflicts of interest. -
Towards end of the transition period: getting ready for a new environment
Speech delivered by Nausicaa Delfas, Executive Director of International, at the UK’s Regulatory Regime for Financial Services Summit. -
FCA fines Reckitt Benckiser £539,800 for listing rule failures
This contributed to late and incomplete disclosure to the market of share dealings by two senior executives. ... There is no suggestion that the senior executives concerned traded on the basis of inside information or deliberately breached the Model Code. -
Sustainability disclosure and labelling regime confirmed by the FCA
The FCA has confirmed a substantial package of measures to improve the trust and transparency of sustainable investment products and minimise greenwashing. -
The Financial Conduct Authority (FCA) makes senior appointments to drive its transformation
Nikhil Rathi, Chief Executive of the FCA since October 2020, has now made four further appointments to the FCA’s executive team. -
FCA consults on further climate-related disclosure rules
The FCA has published new proposals on climate-related disclosure rules for listed companies and certain regulated firms. -
Liquidity Management multi-firm review
Informing the asset management industry of the conclusions and recommendations from our multi-firm review on fund liquidity management. -
Financial promotions quarterly data 2023 Q1
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 January 2023 to 31 March 2023 . -
Wealth Management Association (formerly APCIMS) speech
Speech by FCA Chairman, John Griffith-Jones, delivered to the Wealth Management Association in London. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA sets out plan to tackle investment harm
The FCA has published a new strategy aimed at giving consumers the confidence to invest, supported by a high-quality, affordable advice market, which should lead to fewer people being scammed or persuaded to invest in products too risky for their