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Showing 451 to 460 of 480 search results for principles of the Senior Managers Regime.
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FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly
Aviva Investors breached Principle 3 (Management and control) and Principle 8 (Conflicts of interest) of the Authority’s Principles for Businesses (“the Principles”) and related Rules. ... Aviva Investors breached Principle 3 by failing to exercise -
FCA bans and censures managing director of SIPP operator Montpelier Pension Administration Services Limited
The FCA has banned Kevin Wells, the managing director of Montpelier Pension Administration Services Limited (MPAS), from performing any significant influence function at any regulated firm, and also censured him. -
Cyber and technology resilience in UK financial services
Speech by Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA, delivered at Bloomberg, London. -
Increasing transparency and engagement at renewal in general insurance markets: PS16/21
In this Policy Statement we report on the main issues arising from Consultation Paper 15/41 - Increasing transparency and engagement at renewal in general insurance markets - and confirm the final rules and non-Handbook guidance. -
Andrew Bailey speech at press conference for the publication of FCA corporate documents
Speech by Andrew Bailey, Chief Executive of the FCA, at the press conference for the publication of FCA corporate documents. -
Consumer investments data review April 2020 - March 2021
A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2020 and 31 March 2021. -
Tribunal upholds the Financial Conduct Authority’s decision to censure Arch Financial Products and to fine and ban two of its partners
The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to issue a public censure against Arch Financial Products LLP (Arch), and to prohibit Robin Farrell, its chief executive, and Robert Addison, a senior -
Consumer investments data review April - September 2021
A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2021 and 30 September 2021. -
Information on non-financial misconduct and financial misconduct allegations - May 2022
The FCA provides information on the types of allegations received by its whistleblowing team. -
Leaning in on making consumer tech a force for good
Speech by Nikhil Rathi delivered at the Imperial College London Business School.