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Showing 651 to 660 of 711 search results for new Senior Managers Regime.

  1. Consumer Investments Strategy - 2 Year Update

    Corporate documents Published: 08/12/2023 Last modified: 13/05/2024
    The FCA provides a 2 year update on its progress against the workstreams and outcomes it committed to in its Consumer Investments Strategy in September 2021.

  2. Ten years after Lehman: how accountants can make finance safer

    Speeches Published: 06/09/2018 Last modified: 25/11/2021
    Speech by Charles Randell, Chair of the Financial Conduct Authority and Payment Systems Regulator on how accountants can make finance safer.

  3. FCA welcomes a significant milestone in the development of standards in FX markets through the publication of the BIS Global FX Code

    Statements Published: 26/05/2016 Last modified: 26/05/2016
    In addition to firms’ ongoing obligation to comply with these regulatory requirements, the FCA expects firms and responsible senior managers to ensure their staff satisfy appropriate standards of market practice.

  4. FCA responds to independent reviews into its regulation of London Capital & Finance and Connaught

    Press Releases Published: 17/12/2020 Last modified: 17/12/2020
    The FCA has responded to the independent investigations of its supervision of London Capital & Finance plc (LCF) and Connaught Income Fund Series 1 and connected companies (Connaught)

  5. FCA launches 'Live & Local': a new regional programme to help local firms engage with regulators

    Press Releases Published: 01/03/2016 Last modified: 18/01/2017
    FCA launches 'Live & Local': a new regional programme to help local firms engage with regulators. ... The events will be attended by FCA specialists and senior managers.

  6. Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings

    Press Releases Published: 28/07/2014 Last modified: 28/07/2014
    The abuse of the SLS is a novel feature of this case but the underlying conduct and the underlying failings - to identify, mitigate and monitor for obvious risks - are not new. ... manipulation, including one manager who was also involved in the Repo

  7. PS21/11: General insurance pricing practices - amendments

    Policy statements Published: 16/08/2021 Last modified: 02/12/2022
    In May 2021, we published PS21/5 which set out our final rules to address the harm we had found in our GI Pricing Practices Market Study. On 18 August, we published PS21/11, making minor changes to these rules.

  8. ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR

    Press Releases Published: 25/09/2013 Last modified: 04/11/2014
    Three brokers (including one manager) were central to the collusion, although at least seven other individuals (including another manager) spanning three desks also participated. ... Managers were responsible for monitoring day-to-day misconduct, but

  9. Findings of multi-firm review into insurers' valuation of vehicles

    Multi-firm reviews Published: 27/03/2024 Last modified: 27/03/2024
    We set out the findings from our review which assesses firms’ claims-handling processes for valuing vehicles which have been stolen or written-off (‘total-loss’ claims).

  10. PS18/23: Claims management: how we will regulate claims management companies

    Policy statements Published: 05/06/2018 Last modified: 11/09/2023
    Our Policy Statement sets out the conduct, rules and fees we’ll apply to claims management companies (CMCs) from April 2019.