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Showing 361 to 370 of 482 search results for senior insurance managers regime.

361. Land banking investment scams

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

362. IFPR and eligibility for enhanced SM&CR status as a Significant SYSC firm

     Statements Published: 16/08/2022 Last modified: 16/08/2022
     The FCA clarify the definition of ’Significant SYSC firm’ and eligibility for Enhanced Status under the SM&CR regime

363. Information on first names within the Senior Managements Function - August 2021

     FOI Release Date of Release: 02/08/2021
     The FCA provides information on the 50 most common forenames within the Senior Managements Function.

364. IFPR implementation observations: quantifying threshold requirements and managing financial resources

     Multi-firm reviews Published: 27/02/2023 Last modified: 09/03/2023
     Firms should consider these and how they can strengthen their processes.

365. PS15/29: Strengthening accountability in banking: Final amendments to the Decision Procedure and Penalties Manual and the Enforcement Guide

     Policy statements Published: 09/12/2015 Last modified: 26/05/2016
     new accountability regime (including the Senior Managers Regime and the Certification Regime), and use the new powers created by the Financial Services (Banking Reform) Act 2013 (the Banking Reform Act). ... Individuals subject to either the Senior

366. UK EMIR news

     Markets policy Published: 22/05/2016 Last modified: 19/06/2024
     Read our archive of news relating to EMIR dating back to August 2013.

367. International regulatory developments affecting investment management

     Speeches Published: 05/06/2024 Last modified: 05/06/2024
     Speech by Nikhil Rathi, FCA Chief Executive, delivered at the Investment Association Annual Conference 2024.

368. Investor engagement in a changing regulatory landscape

     Speeches Published: 13/07/2015 Last modified: 14/07/2015
     Taking a brief step back, I know that one area that you will be familiar with is corporate access - payments by investment managers to brokers to arrange access to senior management ... investor and corporate issuer representatives.We also undertook

369. Review of property funds and liquidity risks

     Multi-firm reviews Published: 20/07/2017 Last modified: 20/07/2017
     Findings from our suspended property fund review.

370. Information on open FCA enforcement investigations - December 2020

     FOI Release Date of Release: 21/12/2020
     The FCA provides a breakdown by category of all open FCA investigations as at the 23 November 2020.