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Showing 641 to 650 of 711 search results for new Senior Managers Regime.
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Our approach to ensuring firms treat vulnerable customers fairly
Speech given by Nisha Arora, Director, Consumer and Retail Policy at the TISA Vulnerability Conference. -
Information on non-financial misconduct and financial misconduct allegations - May 2022
The FCA provides information on the types of allegations received by its whistleblowing team. -
Agreements with overseas regulators
Multilateral and bilateral Memoranda of Understanding (MoUs) and other agreements signed by the FCA. -
Understanding approaches to D&I in financial services
The FCA observed how financial services firms are designing and embedding diversity and inclusion strategies. The observations give an overview of initiatives to improve diversity and inclusion, which industry leaders can consider in reviewing their -
Bellwethers of the economy: the need to engage with corporate treasurers to shape our markets
Speech by Nikhil Rathi, FCA chief executive, delivered at the Association of Corporate Treasurers Annual Conference 2024. -
The FCA fines Rabobank £105 million for serious LIBOR-related misconduct
The FCA found over 500 instances of attempted LIBOR manipulation, directly or indirectly involving at least 9 managers and 19 other individuals based across the world. ... At least one manager was actively involved in attempted manipulation and -
FCA fines former managing director £45,000 for failure to notify personal trades
The FCA has fined Kevin Gorman, a former Managing Director at Braemar Shipping Services plc (Braemar), £45,000 for failure to notify personal trades. -
FCA publishes review of business interruption insurance claims handling
The FCA publishes the latest BI data and sets out examples of good practice and where insurance firms have fallen short of expectations in their handling of BI claims. -
FCA fines Barclays £72 million for poor handling of financial crime risks
Barclays ignored its own process designed to safeguard against the risk of financial crime and overlooked obvious red flags to win new business and generate significant revenue.This is wholly unacceptable. ... was unclear which senior managers were in -
Market Force and the Chartered Institute’s Nicholas Barbon Lectures
Speech by Andrew Bailey, Managing Director, Prudential Business Unit at the Chartered Institute’s Nicholas Barbon Lectures, London