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Showing 561 to 570 of 711 search results for new Senior Managers Regime.

  1. Mark Lyttleton sentenced to 12 months imprisonment for insider dealing

    Press Releases Published: 21/12/2016 Last modified: 21/12/2016
    In a prosecution brought by the Financial Conduct Authority (FCA) Mark Lyttleton, a former Equity Portfolio Manager at BlackRock Investment Management (UK) Limited, has today been sentenced to 18 months reduced with credit to 12 months on two counts

  2. Open access regime for the trading and clearing of exchange-traded derivatives

    Statements Published: 11/06/2020 Last modified: 31/12/2020
    From 4 July 2020, trading venues and central counterparties (CCPs) offering the trading and clearing of exchange-traded derivatives will be subject to MiFIR’s open access regime.

  3. Meeting the challenge in our changing global markets

    Speeches Published: 16/05/2023 Last modified: 16/05/2023
    Speech by Sarah Pritchard, Executive Director of Markets, and Executive Director of International, at the UK Finance and EY: Capital Markets insights launch conference.

  4. Treasury, Bank of England and FCA convene working group to facilitate investment in productive finance

    Press Releases Published: 20/11/2020 Last modified: 20/11/2020
    The Treasury, the Bank of England and the FCA are convening an industry working group to facilitate investment in productive finance.

  5. PS21/16: Issuing statutory notices – a new approach to decision makers 

    Policy statements Published: 26/11/2021 Last modified: 26/11/2021
    We are reforming our decision-making process so we can make faster and more effective decisions. This will help us improve how we tackle firms and individuals who do not meet the required regulatory standards.

  6. Park First Limited – information for investors

    News stories Published: 04/07/2019 Last modified: 17/10/2019
    Four companies in the Park First group entered administration on 4 July 2019. Find out what this means for investors.

  7. Consumer investments data review 2020

    Data Published: 18/01/2021 Last modified: 13/06/2023
    A summary of the FCA's work to tackle consumer harm in the investment market, between 1 January and 31 October 2020.

  8. Payday lenders failing customers in arrears, says FCA

    Press Releases Published: 10/03/2015 Last modified: 10/03/2015
    These include changes to senior management, training staff to deal with struggling customers and improving monitoring, compliance and managing risk. ... changes to senior management. revising policies and procedures for collections cultures that are

  9. FCA response to Payment Systems Regulator’s paper on authorised push payment scams

    Statements Published: 07/11/2017 Last modified: 30/08/2023
    The Financial Conduct Authority (FCA) has contributed to the Payment Systems Regulator (PSR) paper on 'Authorised Push Payment Scams'.

  10. Effectiveness and proportionality: our financial crime priorities

    Speeches Published: 10/11/2016 Last modified: 05/12/2016
    Speech by Rob Gruppetta, Head of the Financial Crime Department at the FCA, at our Financial Crime Conference.