Search results

Showing 371 to 380 of 829 search results for senior managers regime.

371. Investing in outcomes: a regulatory approach to deliver for consumers, markets and competitiveness

     Speeches Published: 14/03/2024 Last modified: 14/03/2024
     Speech by Nikhil Rathi, FCA Chief Executive delivered at the Morgan Stanley European Financials Conference.

372. Sanctions systems and controls: firms’ response to increased sanctions due to Russia’s invasion of Ukraine

     Good and poor practice Published: 06/09/2023 Last modified: 20/03/2024
     We set out key findings from our assessments of sanctions systems and controls in financial services firms. We include examples of good practice and areas for improvement, to help firms deliver even greater compliance with sanctions.

373. Regulated financial advice firms and individuals that attempt to avoid their redress liabilities

     Tasks for regulated firms Published: 14/12/2018 Last modified: 13/02/2023
     The FCA provides information to regulated financial advice firms

374. What firms and customers can expect from the consumer duty and other regulatory reforms

     Speeches Published: 29/09/2022 Last modified: 29/09/2022
     Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at City and Financial Global.

375. General insurance product value and coronavirus (Covid-19) Guidance – update

     Studies and reviews Multi-firm reviews Published: 25/08/2021 Last modified: 25/08/2021
     We set out the findings from our multi-firm review assessing how firms have responded to our general insurance (GI) distribution chain Guidance (further to the product governance rules implemented by the IDD) and coronavirus (Covid-19) value Guidance

376. Information on HBOS senior managers - November 2022

     FOI Release Date of Release: 11/11/2022
     FCA provides information on HBOS senior Managers (FCA cost of Investigation and Correspondence with Nikhil Rathi).

377. FCA and PRA investigations into HBOS senior managers

     Press Releases Published: 28/01/2016 Last modified: 28/01/2016
     The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have decided to start investigations into certain former HBOS senior managers.

378. Information on senior manager appointments - August 2022

     FOI Release Date of Release: 09/08/2022
     The FCA provides information information on senior manager appointments.

379. Becoming an appointed representative if you’re a funeral plan intermediary

     Firms Tasks for firms Published: 03/05/2021 Last modified: 01/11/2023
     Find out how to become an appointed representative (AR) that sells and distributes funeral plans on behalf of a principal firm.

380. Statistics on number of senior manager function holders - December 2020

     FOI Release Date of Release: 07/12/2020
     FCA provides statistics on the number of senior management function holders from 2016 to 2020