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Showing 571 to 580 of 711 search results for new Senior Managers Regime.

  1. London FinTech Week 2016 - innovation in RegTech

    Speeches Published: 25/07/2016 Last modified: 31/10/2016
    Speech by Christopher Woolard, Director of Strategy and Competition at the FCA, delivered at London FinTech Week 2016.

  2. FCA consults on Market Abuse Regulation policy proposals and Handbook changes

    Press Releases Published: 05/11/2015 Last modified: 05/11/2015
    In its consultation document, the FCA sets out proposals for the necessary changes to its Handbook required in implementing this new regime and invites comments in particular on the different options ... for implementation the new regime offers Member

  3. Information relating to individual approvals and complaints relating to authorisations - March 2021

    FOI Release Date of Release: 11/03/2021
    The FCA responds to questions relating to applications for individual approvals, and complaints relating to authorisations and credit authorisations.

  4. FCA launches campaign to encourage individuals to report wrongdoing

    Press Releases Published: 24/03/2021 Last modified: 24/03/2021
    The campaign, 'In confidence, with confidence', encourages individuals working in financial services to report potential wrongdoing to the FCA.

  5. Recovery plans – initial observations

    News stories Published: 19/05/2016 Last modified: 19/05/2016
    Recovery plans – initial observations. News stories First published:. 19/05/2016. Last updated: 19/05/2016. ... We recently assessed the compliance of firms’ recovery plans with the Recovery and Resolution Directive (RRD) – a comprehensive recovery

  6. New Cost Benefit Analysis Panel to be chaired by Dr Felix Martin

    Press Releases Published: 05/06/2024 Last modified: 05/06/2024
    Dr Felix Martin has been appointed chair of the FCA's new, independent Cost Benefit Analysis Panel.

  7. Primary Market Bulletin 42

    Newsletters Published: 12/12/2022 Last modified: 12/12/2022
    In this edition we cover areas including climate related disclosures, the National Security and Investment Act, unlawful disclosure by Sir Christopher Gent and rules and guidance for cash shells and SPACS on reverse takeovers.

  8. Information on the gender of CF10/11s and SMF16/17s holders - August 2020

    FOI Release Date of Release: 21/08/2020
    SMF16 and SMF 17 figures for 2019 reflect those functions held at dual-regulated firms that were subject to the Senior Managers and Certification Regime at the time.

  9. Keynote address: Financial crime in the FCA world

    Speeches Published: 01/07/2013 Last modified: 18/07/2013
    Speech by Tracey McDermott, Director of Enforcement & Financial Crime, the FCA, at the FCA Financial Crime Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  10. FCA appoints members for the UK Secondary Markets Advisory Committee

    Markets News stories Published: 24/06/2024 Last modified: 24/06/2024
    The FCA has appointed the members of its advisory committee on secondary markets for the period June 2024 to June 2026.