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Showing 401 to 410 of 480 search results for principles of the Senior Managers Regime.

  1. Investor protection under MiFID II

    Speeches Published: 20/10/2015 Last modified: 20/10/2015
    Speech by David Geale, Director of Policy, FCA, delivered at the FCA MiFID II Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  2. Investment Funds, Markets Liquidity and the Investor

    Speeches Published: 24/03/2016 Last modified: 23/06/2016
    Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at The 9th Financial Risk International Forum in Paris on 21 March 2016. This is the text of the speech as drafted, which may differ from the delivered version.

  3. The role of regulation in encouraging investment in the City

    Speeches Published: 25/09/2023 Last modified: 25/09/2023
    Speech by Sarah Pritchard, Executive Director, Markets and Executive Director, International at the City and Financial Global: Future of UK Capital Markets Regulation event.

  4. Financial promotions quarterly data 2023 Q1

    Data Published: 05/05/2023 Last modified: 04/08/2023
    We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 January 2023 to 31 March 2023 .

  5. FCA welcomes a significant milestone in the development of standards in FX markets through the publication of the BIS Global FX Code

    Statements Published: 26/05/2016 Last modified: 26/05/2016
    It represents a key step in the development of principles governing trading practices in FX markets worldwide. ... In addition to firms’ ongoing obligation to comply with these regulatory requirements, the FCA expects firms and responsible senior

  6. Latest FCA perimeter report calls for legislative change to protect consumers

    Press Releases Published: 21/10/2021 Last modified: 21/10/2021
    In the 2020/21 Perimeter Report, the FCA has called for legislative change to address concerns beyond its remit.

  7. The FCA censures Catalyst Investment Group Limited for misleading investors and fines former compliance officer

    Press Releases Published: 03/10/2013 Last modified: 07/02/2022
    he Financial Conduct Authority (FCA) has censured Catalyst Investment Group Limited (Catalyst) for recklessly misleading investors when promoting bonds offered by ARM Asset Backed Securities SA (ARM) between November 2009 and May 2010.

  8. Share, bond and boiler room scams

    Consumers Scams Published: 10/08/2017 Last modified: 20/03/2023
    Find out how share and bond scams work, how to avoid them and what to do if you’re scammed.

  9. FCA consults on new rules for claims management firms to raise standards of conduct and protect consumers

    News stories Published: 20/09/2018 Last modified: 20/09/2018
    We are consulting on new rules for claims management companies to raise standards of conduct. We will become the regulator of claims management companies (CMCs) on 1 April 2019.

  10. The Financial Conduct Authority censures the Co-operative Bank for listing rules breaches and failing to be open with the regulator

    Press Releases Published: 11/08/2015 Last modified: 12/01/2023
    The Financial Conduct Authority (FCA) has issued a public censure against The Co-operative Bank plc (Co-op Bank) for breaching its Listing Rules. The Listing Rules require issuers to ensure that information published is not misleading so that