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Showing 361 to 370 of 829 search results for senior managers regime.

361. Andrew Bailey keynote speech on MiFID II at the European Independent Research Providers Association

     Speeches Published: 25/02/2019 Last modified: 25/02/2019
     Speech by Andrew Bailey, Chief Executive of the FCA, on the Markets in Financial Instruments Directive (MiFID II) at the European Independent Research Providers Association.

362. Ex post Impact Evaluation Framework – Feedback Statement

     Feedback statements Published: 20/12/2018 Last modified: 20/12/2018
     This feedback statement summarises views received from our stakeholders after the publication of a discussion paper in April 2018, and our responses to them.

363. PS15/21: Changes to the Approved Persons Regime for Solvency II firms: Final rules (including feedback on CP14/25, CP15/5 and CP15/16), and consequentials relating to CP15/22 on strengthening accountability in banking

     Policy statements Published: 13/08/2015 Last modified: 09/12/2016
     The rules cover two main issues. Firstly reforms to the Approved Persons Regime for firms to whom the PRA have applied the Solvency II regime. ... Find out more about thesenior managers and certification regime.

364. Insurance brokers: serving consumers and businesses in times of uncertainty and change

     Speeches Published: 13/05/2022 Last modified: 13/05/2022
     Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the British Insurance Brokers' Association (BIBA) Conference.

365. Financial services regulation and enforcement: recent developments and emerging issues

     Speeches Published: 09/10/2013 Last modified: 10/10/2013
     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.

366. UBS fined £160 million for significant failings in relation to LIBOR and EURIBOR

     Press Releases Published: 19/12/2012 Last modified: 29/03/2013
     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.

367. FCA consults on new rules for claims management firms to raise standards of conduct and protect consumers

     News stories Published: 20/09/2018 Last modified: 20/09/2018
     We are consulting on new rules for claims management companies to raise standards of conduct. We will become the regulator of claims management companies (CMCs) on 1 April 2019.

368. The FCA and PRA propose measures to boost diversity and inclusion in financial services  

     Press Releases Published: 25/09/2023 Last modified: 07/11/2023
     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.

369. Ensuring the UK remains open for business – requirements for foreign-owned firms

     Speeches Published: 13/11/2013 Last modified: 14/11/2013
     Speech by Clive Adamson, Director of Supervision, at the Association of Foreign Banks, London. This is the text of the speech as drafted, which may differ from the delivered version.

370. PS18/23: Claims management: how we will regulate claims management companies

     Policy statements Published: 05/06/2018 Last modified: 11/09/2023
     Our Policy Statement sets out the conduct, rules and fees we’ll apply to claims management companies (CMCs) from April 2019.