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Showing 421 to 430 of 480 search results for principles of the Senior Managers Regime.
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FCA review finds weaknesses in some ‘host’ Authorised Fund Management firms’ governance and operations
The Financial Conduct Authority (FCA) has called for so-called ‘host’ Authorised Fund Managers (AFMs) to improve their standards following a review of firms published today. -
J.P. Morgan International Bank fined for systems and controls failings in its wealth management business
The Financial Conduct Authority has fined J.P. Morgan International Bank Limited (JPMIB) £3,076,200 for systems and controls failings relating to its provision of retail investment advice and portfolio investment services. -
Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings
manipulation, including one manager who was also involved in the Repo Rate misconduct. ... This breached two of the FCA’s fundamental principles for businesses, which underpin its objectives to ensure that markets function effectively, and to promote -
Former B&B Group Finance Director fined £30,000 for failings ahead of 2008 rights issue
Christopher Willford fined £30,000 for failing to provide the board with up-to-date information about B&B’s financial position, including profits, mortgage arrears and re-possessions, ahead of its 2008 rights issue. -
Transforming to a forward-looking, proactive regulator
Speech by our CEO, Nikhil Rathi, delivered at the FCA’s Our Role and Business Plan webinar. -
FCA to introduce new Consumer Duty to drive a fundamental shift in industry mindset
Our plans will ensure a higher and more consistent standard of consumer protection for users of financial services and help to stop harm before it happens. -
Cultural evolution: how culture must change to meet expectations
Speech by Emily Shepperd, Chief Operating Officer and Executive Director of Authorisations, delivered online at the Westminster Business Forum. -
Our approach to ensuring firms treat vulnerable customers fairly
Speech given by Nisha Arora, Director, Consumer and Retail Policy at the TISA Vulnerability Conference. -
FCA further bolsters its leadership team as it expands its headcount
The Financial Conduct Authority (FCA) has appointed six directors as it expands its headcount to meet a growing remit and to achieve its ambitious strategy, which launched in April. The appointments announced today, which fill a mix of new and -
Opening up and speaking out: diversity in financial services and the challenge to be met
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at Mitsubishi UFJ Financial Group, London.