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Showing 391 to 400 of 480 search results for principles of the Senior Managers Regime.
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Statement on communications in relation to PRIIPs and UCITS
Issuing limited forbearance to allow firms to provide additional disaggregated disclosure on costs and charges to support the aggregated figure. This is the result of engagement with the investment trust industry. -
Regulatory priorities for retail banking
Speech delivered by Karina McTeague, Director of Retail Banking Supervision at the FCA, at the Westminster Business Forum on retail banking and payments. -
Insurance firms failing to consider value of the products and services provided to consumers
The Financial Conduct Authority (FCA) is warning General Insurance (GI) firms about manufacturing, sales and distribution approaches that can lead to customers purchasing inappropriate products, paying excessive prices or receiving poor service. -
Recovery plans – initial observations
We recently assessed the compliance of firms’ recovery plans with the Recovery and Resolution Directive (RRD) – a comprehensive recovery and resolution regime that helps firms plan for recovery from financial difficulty – ... g. under Principles -
Testing how Authorised Fund Managers are embedding the Guiding Principles in ESG and sustainable investment funds
We set out findings from our supervisory work that looked at how authorised fund managers (AFMs) comply with existing regulatory requirements and expectations on the design, delivery and disclosure of Environmental, Social and Governance (ESG) and -
Information on the gender of CF10/11s and SMF16/17s holders - August 2020
SMF16 and SMF 17 figures for 2019 reflect those functions held at dual-regulated firms that were subject to the Senior Managers and Certification Regime at the time. -
Land banking investment scams
Find out how land banking investments work, how to avoid scams and what to do if you’re scammed. -
Lamprell plc fined £2,428,300 for systems and controls failings
The Financial Services Authority (FSA) has fined Lamprell plc (Lamprell) £2,428,300 for significant failings in its systems and controls resulting in Listing Rules and related breaches. Lamprell could not adequately monitor its financial -
Do I need to worry about benchmark regulation?
Speech by Edwin Schooling Latter, Head of Markets Policy, FCA, delivered at CISI European Regulation Forum on 2 February 2016. This is the text of the speech as drafted, which may differ from the delivered version. -
Remuneration and performance management of sales staff (SYSC 19F)
FCA provides rules on staff incentives and the remuneration of sales staff and advisers.