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Showing 581 to 590 of 711 search results for new Senior Managers Regime.

  1. Branch and ATM closures or conversions; good practice and areas for improvement

    Data Published: 23/02/2022 Last modified: 25/01/2023
    Find out more about the good and poor practice the FCA has seen when supervising firms planning branch or ATM closures or conversions.

  2. Whistleblowing qualitative assessment survey 2022

    Data Published: 04/05/2023 Last modified: 04/05/2023
    This report sets out the findings of a qualitative assessment survey of a small sample of whistleblowers who disclosed their concerns about wrongdoing to the FCA. The survey was conducted to understand whistleblowers’ experience of reporting to

  3. FCA confirms anti-greenwashing guidance and proposes extending sustainability framework

    Press Releases Published: 23/04/2024 Last modified: 25/04/2024
    Ahead of the anti-greenwashing rule coming into force on 31 May, the FCA is supporting industry with guidance to help them meet the standard.

  4. The UK listing regime - developments since the UK Listings Review and next steps for reform

    Speeches Published: 06/02/2024 Last modified: 06/02/2024
    Speech by Clare Cole, Director of Market Oversight, at the Westminster Business Forum.

  5. Consumer investments data review April 2020 - March 2021

    Data Published: 15/09/2021 Last modified: 13/06/2023
    A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2020 and 31 March 2021.

  6. Outcomes-focussed regulation: a measure of success?

    Speeches Published: 06/05/2021 Last modified: 11/06/2024
    Speech by Charles Randell, Chair of the FCA and PSR, to the Building Societies Association

  7. PS13/5 Implementation of the Alternative Investment Fund Managers Directive

    Policy statements Published: 28/06/2013 Last modified: 29/05/2018
    We are setting out our rules for implementing the Alternative Investment Fund Managers Directive (AIFMD) and responding to the feedback to our consultation.

  8. PS18/17: The European Money Market Funds (MMF) Regulation

    Policy statements Published: 24/01/2018 Last modified: 11/07/2018
    In this Policy Statement, we respond to feedback arising from CP18/4 and publish final rules amending our Handbook to ensure consistency with the requirements of the EU Money Market Funds (MMF) Regulation. We also apply fee schedules to enable us

  9. Approved Persons Regime (APR) and coronavirus: our expectations - December 2020 update

    Published: 18/12/2020 Last modified: 18/12/2020
    In June 2020, we set out our expectations to help firms using Appointed Representative (AR) arrangements apply the Approved Persons Regime (APR) during coronavirus (Covid-19). We offered some additional flexibility in the application of rules to

  10. Restrictions placed on Nexus Independent Financial Advisers and Nexus Investment Managers

    News stories Published: 31/01/2023 Last modified: 31/01/2023
    On 25 January 2023, the FCA imposed a number of restrictions on Nexus Independent Financial Advisers and Nexus Investment Managers preventing them from carrying out any regulated activities and restricting access to their assets due to concerns