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Showing 261 to 270 of 480 search results for principles of the Senior Managers Regime.

  1. FCA publishes Annual Report for 2014/15

    Press Releases Published: 02/07/2015 Last modified: 14/09/2015
    implementing the new Senior Managers Regime. our market studies, including cash savings, retirement income and review of competition in the wholesale sector.

  2. PS16/2: Implementation of the UCITS V Directive

    Policy statements Published: 02/02/2016 Last modified: 02/02/2016
    requirements applicable to management companies, including remuneration principles and transparency obligations towards investors. ... UCITS management companies and alternative investment fund managers (AIFMs). depositaries and custodians of UCITS and

  3. Investment Association Annual Dinner 2017

    Speeches Published: 17/10/2017 Last modified: 17/10/2017
    Speech by Andrew Bailey, Chief Executive of the FCA, at the Investment Association Annual Dinner 2017.

  4. Updating and improving the UK regime for asset management: our priorities

    Speeches Published: 12/10/2023 Last modified: 12/10/2023
    Speech by Ashley Alder, Chair, delivered at the Investment Association’s Annual Dinner.

  5. Cautious optimism for the post-pandemic world

    Speeches Published: 23/04/2021 Last modified: 23/04/2021
    Speech by Charles Randell, Chair of the FCA and PSR, to the Finance & Leasing Association.

  6. Brexit and beyond

    Speeches Published: 21/03/2019 Last modified: 21/03/2019
    Speech delivered by Nausicaa Delfas, Executive Director of International at the FCA, at City and Financial, 4th UK Financial Services Brexit Summit.

  7. IFPR and eligibility for enhanced SM&CR status as a Significant SYSC firm

    Statements Published: 16/08/2022 Last modified: 16/08/2022
    The FCA clarify the definition of ’Significant SYSC firm’ and eligibility for Enhanced Status under the SM&CR regime

  8. Training and competence

    Tasks for regulated firms Published: 12/05/2015 Last modified: 10/02/2023
    Our training and competence regime makes sure the financial services workforce is appropriately qualified and well regulated.

  9. FCA publishes final report into asset management sector

    Press Releases Published: 28/06/2017 Last modified: 28/06/2017
    The Financial Conduct Authority (FCA) has today published the final findings of its asset management market study and announced the package of remedies it will take forward to address the concerns identified in its interim report into the sector.

  10. Investigation opening criteria

    About us How we regulate Published: 21/04/2016 Last modified: 27/02/2024
    Factors we consider when deciding to open an investigation, including how we assess serious misconduct.