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Showing 371 to 380 of 480 search results for principles of the Senior Managers Regime.

  1. Primary Market Bulletin 44

    Newsletters Published: 20/03/2023 Last modified: 20/03/2023
    This edition covers diversity and inclusion, when a prospectus is required in Schemes of Arrangement and regulatory news with multimedia content.

  2. Highlights of the FCA’s new approach in 2021

    Press Releases Published: 31/12/2021 Last modified: 12/01/2022
    Our mission is to protect consumers from harm, enhance the integrity of the UK’s financial system and promote competition. We are continuing to pursue these objectives while also working to become a more innovative, adaptive and assertive regulator

  3. FCA publishes Annual Report and Accounts 2019/20

    Press Releases Published: 10/09/2020 Last modified: 10/09/2020
    The Financial Conduct Authority (FCA) publicly censures Conor Foley, the former Chief Executive Officer of Worldspreads, for market abuse and banning him from performing any roles linked to regulated activity.

  4. Enhancing the UK’s capital markets – The FCA’s role and priorities

    Speeches Published: 08/02/2022 Last modified: 08/02/2022
    Speech by Sarah Pritchard, Executive Director, Markets, to City & Financial Global’s The Future of UK Financial Regulation Summit.

  5. A sustainable conduct environment

    Speeches Published: 20/03/2014 Last modified: 27/03/2014
    Speech by Clive Adamson, Director of Supervision, the FCA, at the Association of Professional Compliance Consultants’ annual conference. This is the text of the speech as drafted, which may differ from the delivered version.

  6. Aberdeen Asset Managers and Aberdeen Fund Management fined £7.2 million for failing to protect client money

    Press Releases Published: 03/09/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited (Aberdeen) £7,192,500 for failing to identify, and therefore properly protect, client money placed in Money Market Deposits (MMDs)

  7. The future of LIBOR

    Speeches Published: 27/07/2017 Last modified: 27/07/2017
    Speech by Andrew Bailey, Chief Executive of the FCA, at Bloomberg London.

  8. Regulatory Decisions Committee (RDC)

    About us Who we are Published: 05/04/2016 Last modified: 17/06/2024
    The RDC helps to ensure that contested enforcement decisions are made fairly. Find out more about the process and who sits on the committee.

  9. Supporting material for applications by consumer credit, mortgage and other consumer finance firms

    Firm authorisation Published: 15/11/2023 Last modified: 13/12/2023
    If you're applying to be authorised by the FCA, find out what supporting material to include in your application and how to prepare everything.

  10. Carbon credit trading scams

    Consumers Scams Published: 10/08/2017 Last modified: 20/03/2023
    Find out how carbon credit trading works, how to avoid scams and what to do if you’re scammed.