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Showing 461 to 470 of 480 search results for principles of the Senior Managers Regime.
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Insurance brokers: serving consumers and businesses in times of uncertainty and change
Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the British Insurance Brokers' Association (BIBA) Conference. -
PS18/23: Claims management: how we will regulate claims management companies
Our Policy Statement sets out the conduct, rules and fees we’ll apply to claims management companies (CMCs) from April 2019. -
Building better bridges: a world-leading investment industry around outcomes customers need
Speech by Charles Randell, FCA chair, at the Investment Association on working to build a world-leading investment industry around customers’ outcomes -
Financial services regulation and enforcement: recent developments and emerging issues
Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Business interruption insurance test case: draft guidance for firms
FCA publishes draft guidance for firms on the business interruption insurance test case -
The Financial Conduct Authority fines FXCM UK £4 million for making ‘unfair profits’ and not being open with the FCA
Although senior managers of the FXCM Group sat on the Board of FXCM UK and knew about the investigation, FXCM UK failed to alert the FCA. ... The relevant FCA principles for business:. A firm must pay due regard to the interests of its customers and -
FCA fines Julius Baer International Limited £18m and publishes decision notices for three individuals
We have fined Julius Baer International Limited £18,022,500 for failing to conduct its business with integrity, failing to take reasonable care to organise and control its affairs and failing to be open and cooperative with the FCA. -
UBS fined £160 million for significant failings in relation to LIBOR and EURIBOR
The Financial Services Authority (FSA) has fined UBS AG (UBS) £160 million for misconduct relating to the London Interbank Offered Rate (LIBOR) and the Euro Interbank Offered Rate (EURIBOR). This is the largest fine ever imposed by the FSA. -
IFPR implementation observations: quantifying threshold requirements and managing financial resources – concluding report
Further observations on how firms are implementing requirements on the Internal Capital Adequacy and Risk Assessment process and reporting under the Investment Firms Prudential Regime. -
The FCA and PRA propose measures to boost diversity and inclusion in financial services
In consultation papers published today, the financial regulators have set out proposals to boost diversity and inclusion to support healthy work cultures, reduce groupthink, and unlock talent.