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Showing 551 to 560 of 711 search results for new Senior Managers Regime.

  1. FCA sets out expectations for investment managers on dealing commission

    Press Releases Published: 08/05/2014 Last modified: 08/05/2014
    FCA sets out expectations for investment managers on dealing commission. Press Releases First published:. ... They will prevent investment managers using dealing commission to pay for access to senior staff at firms they invest in (corporate access).

  2. MiFID II – the road ahead

    Speeches Published: 20/10/2015 Last modified: 26/10/2015
    Speech by David Lawton, Director of Markets Policy and International, 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.

  3. Putting the customer at the centre of the business: is it a long road ahead for the FCA?

    Speeches Published: 25/06/2015 Last modified: 25/06/2015
    Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the RiskMinds conference Conduct Forum in Brussels. This is the text of the speech as drafted, which may differ from the delivered version.

  4. Donre Advisory Limited enters liquidation

    Investments News stories Published: 16/07/2024 Last modified: 16/07/2024
    Donre Advisory Limited has entered creditors’ voluntary liquidation (CVL). Sean Bucknall and Andrew Hosking of Quantuma have been appointed as joint liquidators.

  5. Penalties, remediation, and our General Principles

    Speeches Published: 13/02/2020 Last modified: 13/02/2020
    FCA Executive Director of Enforcement and Market Oversight, delivered this speech on financial penalties at the City & Financial Global Ltd event, London.

  6. Cryptoasset AML / CTF regime: feedback on good and poor quality applications

    Tasks for firms Published: 22/03/2023 Last modified: 03/07/2024
    Feedback on good and poor quality applications made to the FCA under money laundering regulations.

  7. FCA to ask firms for their views on MiFID II implementation

    Press Releases Published: 26/03/2015 Last modified: 08/11/2016
    boutiques; and whether to remove the current recording exemptions for discretionary investment managers in our domestic regime. ... Exploring potential MiFID II inducement rules for advisers, discretionary investment managers and other firms.

  8. Recent developments in financial markets

    Speeches Published: 01/03/2018 Last modified: 09/03/2018
    Speech by Andrew Bailey, Chief Executive of the FCA, at the Association for Financial Markets in Europe (AFME), International Capital Market Association (ICMA) and International Swaps and Derivatives Association (ISDA) breakfast briefing.

  9. Statement on how firms should handle post and paper documents

    Statements Published: 13/05/2020 Last modified: 13/05/2020
    We recognise that during the coronavirus (covid-19) pandemic there will be some important functions, such as processing post, that will be more difficult for firms to do in a timely way.  

  10. General insurance pricing attestation multi-firm review

    Multi-firm reviews Published: 02/12/2022 Last modified: 02/12/2022
    Assessing how firms satisfied themselves that they do not systematically discriminate against motor and home insurance customers based on the number of years they have held their policy, including any renewal (tenure).