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Showing 311 to 320 of 829 search results for senior managers regime.

311. Get-rich-quick, Ponzi and pyramid schemes

     Consumers Scams Published: 10/08/2017 Last modified: 20/03/2023
     Find out how get-rich-quick schemes like Ponzi and pyramid schemes work, how to avoid scams and what to do if you’re scammed.

312. FCA publishes Annual Report and Accounts 2019/20

     Press Releases Published: 10/09/2020 Last modified: 10/09/2020
     The Financial Conduct Authority (FCA) publicly censures Conor Foley, the former Chief Executive Officer of Worldspreads, for market abuse and banning him from performing any roles linked to regulated activity.

313. Prudential Regulation Authority and Financial Conduct Authority consult on proposals to improve responsibility and accountability in the banking sector

     Press Releases Published: 30/07/2014 Last modified: 04/11/2019
     The Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) have today published two joint consultation papers aimed at improving individual responsibility and accountability in the banking sector.

314. PS15/31: Final Rules on changes to the Approved Persons Regime for insurers not subject to Solvency II

     Policy statements Published: 16/12/2015 Last modified: 26/05/2016
     With the Bank of England and Financial Services Bill of October 2015, HM Treasury announced their intention to extend the Senior Managers & Certification Regime (SM&CR) for the banking sector to ... This does not affect the implementation of the revised

315. PS15/24: Whistleblowing in deposit-takers, PRA-designated investment firms and insurers

     Policy statements Published: 06/10/2015 Last modified: 26/05/2016
     they appoint a senior person to take responsibility for the effectiveness of these arrangements. ... The requirement to assign responsibilities to a whistleblowers’ champion will take effect on the same date as the rest of the Senior Managers Regime, 7

316. Information relating to individual approvals and complaints relating to authorisations - March 2021

     FOI Release Date of Release: 11/03/2021
     The FCA responds to questions relating to applications for individual approvals, and complaints relating to authorisations and credit authorisations.

317. Cryptoasset registration: information for applicants

     Published: 26/10/2023 Last modified: 07/02/2024
     The FCA's requirements and expectations of cryptoasset businesses for AML/CTF regime registration.

318. PS22/1: FCA authorisation application fees: new structure

     Policy statements Published: 10/01/2022 Last modified: 10/01/2022
     We are setting out the new structure for authorisation application fees that comes into effect from 24 January 2022.

319. Why free trade and open markets in financial services matter

     Speeches Published: 06/07/2017 Last modified: 06/07/2017
     Speech by Andrew Bailey, Chief Executive of the FCA, at Reuters Newsmaker event.

320. The rationale for the FCA’s Mission and the context which the FCA operates in

     Speeches Published: 26/10/2016 Last modified: 10/11/2016
     Speech by Andrew Bailey, Chief Executive at the FCA, delivered at City Banquet, Mansion House.