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Showing 431 to 440 of 480 search results for principles of the Senior Managers Regime.
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FCA bans Angela Burns from acting as a non-executive director and fines her for her failure to declare conflicts of interest
The Financial Conduct authority (FCA) has banned Angela Burns from acting as a non-executive director (NED) and fined her £20,000 for failing to act with integrity at two mutual societies. -
Firms continue to fail to meet our expectations on their use of dealing commission
We summarise our findings from a review that analysed dealing commission expenditure across 31 investment managers (covering asset managers, wealth managers and host-authorised corporate director providers) between 2012 and 2015. -
Consumer Investments: Strategy and Feedback Statement
The FCA sets out its view of consumer harm in this market and its 3-year strategy to address this. -
Review of principal firms in the investment management sector
We have reviewed how asset managers calculate and disclose transaction costs and how effective overall cost disclosures are. -
Primary Market Bulletin Issue No. 29
In this special edition, we publish a statement on feedback we received from PMB25 and the changes we have made in response. We also include the final note. -
FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function
The network model is undermined if the senior managers of the principle firm do not carry out their responsibilities.". -
Primary Market Bulletin 42
In this edition we cover areas including climate related disclosures, the National Security and Investment Act, unlawful disclosure by Sir Christopher Gent and rules and guidance for cash shells and SPACS on reverse takeovers. -
Building a financial regulatory system suitable for the UK in the new era
Speech delivered by Nausicaa Delfas, Executive Director of International, at the City & Financial Professional Virtual Roundtables. -
Consumer Duty implementation plans
The Consumer Duty will set higher and clearer standards of consumer protection across financial services and require firms to act to deliver good outcomes for customers. The FCA sets out here the findings from their review of firms’ plans to embed -
Consumer investments data review 2020
A summary of the FCA's work to tackle consumer harm in the investment market, between 1 January and 31 October 2020.