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Showing 661 to 670 of 711 search results for new Senior Managers Regime.
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FCA publishes guidance consultation for firms who seek to limit their liabilities
We have seen an increase in the number of firms developing proposals, such as Scheme of Arrangements, to deal with significant liabilities to consumers, in particular redress liabilities. -
Key findings on our recent work on pension transfer advice
Pension transfers have been a priority for us throughout 2018. Our work has focussed in particular on those firms most active in the market. We have also looked more closely into some firms based on intelligence (for example whistleblowing) we -
FCA appoints David Anthony Scott as Interim General Counsel and Raj Parker as a senior legal adviser
The FCA has appointed David Anthony Scott as its Interim General Counsel. -
Levelling the playing field – innovation in the service of consumers and the market
Speech by our CEO, Nikhil Rathi, to FinTech Week. -
FCA finds small firms need to manage financial crime risks more effectively
The Financial Conduct Authority (FCA) has found that many small banks and commercial insurance intermediaries fail to effectively manage financial crime risk. -
Business interruption insurance test case: draft guidance for firms
FCA publishes draft guidance for firms on the business interruption insurance test case -
Regulating the pensions and retirement income sector: an FCA perspective
Speech by Deb Jones, Director of Supervision, Life Insurance and Financial Advice, delivered at the FCA/TPR: Our Joint Regulatory Strategy - one year on event. -
RBS fined £87.5 million for significant failings in relation to LIBOR
The Financial Services Authority (FSA) has fined The Royal Bank of Scotland plc (RBS) £87.5 million for misconduct relating to the London Interbank Offered Rate (LIBOR). -
FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function
The network model is undermined if the senior managers of the principle firm do not carry out their responsibilities.". -
CP18/28: Brexit: proposed changes to the Handbook and Binding Technical Standards – first consultation
In this paper, we publish our proposals on how we will amend our Handbook and EU derived binding technical standards (BTS) if the UK leaves the EU without an implementation period in place. We also set out our proposed approach to EU