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Showing 181 to 190 of 250 search results for opened under the Senior Managers Regime.
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Consumer investments data review 2020
A summary of the FCA's work to tackle consumer harm in the investment market, between 1 January and 31 October 2020. -
Apply to become a pre-paid funeral plans firm
If you’re a new funeral plan provider or intermediary, find out when you need to apply to the FCA for authorisation and how to apply. -
The Prudential Regulation Authority and The Financial Conduct Authority announce new rules on remuneration
Our rules will now mean that senior managers face clawback of bonuses for up to 10 years, if misconduct comes to light. ... The primary changes are:. Extending deferral (the period during which variable remuneration is withheld following the end of the -
Where next for investment and asset management regulation?
Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017. -
Assessing the value of financial advice
Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to The Personal Investment Management and Financial Advice Association (PIMFA) in London. -
Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation
implementing the measures set out in the Financial Services Act 2013 including establishing Senior Managers and Certified Persons Regime to increase accountability to senior individuals. ... extensive engagement with Europe on important Directives under -
FCA reminds firms to regularly review regulatory permissions
We are reminding firms of their obligation to regularly review regulatory permissions to ensure they are up to date and removed where they are not needed. -
Enhancing the UK’s capital markets – The FCA’s role and priorities
Speech by Sarah Pritchard, Executive Director, Markets, to City & Financial Global’s The Future of UK Financial Regulation Summit. -
Consumer investments data review April - September 2021
A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2021 and 30 September 2021. -
Consumer investments data review April 2020 - March 2021
A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2020 and 31 March 2021.