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Showing 541 to 550 of 711 search results for new Senior Managers Regime.
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CP24/7: Payment Optionality for Investment Research
We are consulting on giving UK buyside firms – asset managers and others – greater flexibility on how they can purchase such research -
The role of regulation in encouraging investment in the City
Speech by Sarah Pritchard, Executive Director, Markets and Executive Director, International at the City and Financial Global: Future of UK Capital Markets Regulation event. -
Investment Funds, Markets Liquidity and the Investor
Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at The 9th Financial Risk International Forum in Paris on 21 March 2016. This is the text of the speech as drafted, which may differ from the delivered version. -
From regulator to firm to consumer: a virtuous chain of events
Speech by Georgina Philippou, Senior Adviser to the FCA on the Public Sector Equality Duty, delivered at the Building Ethnic Diversity and Inclusion in Investment Management - Report Launch. -
Annual Report 2015/16 and Competition Report 2013-16
The Annual Report provides an overview of our work:. implementing the Senior Managers and Certification Regime, which seeks to deliver a step change in individual accountability. ... taking tough action on past transgressions, issuing penalties totalling -
Statement on communications in relation to PRIIPs and UCITS
Issuing limited forbearance to allow firms to provide additional disaggregated disclosure on costs and charges to support the aggregated figure. This is the result of engagement with the investment trust industry. -
Efficiency and effectiveness: our approach to primary markets
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at Bloomberg. -
Asset management portfolio tools
This report sets out our review findings of how firms in the asset management sector selected and used risk modelling and other portfolio management tools. -
Loan-based crowdfunding platforms: summary of our rules
The following rules may be relevant for firms operating in the loan-based crowdfunding (including peer-to-peer and peer-to-business) market when considering their investment activities. -
CP23/15: The framework for a UK consolidated tape
We’re consulting on our proposed framework for establishing a consolidated tape (CT) in the UK.