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Showing 401 to 410 of 829 search results for senior managers regime.
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Our gender and ethnicity pay gaps 2019
We report on our gender and ethnicity pay gaps. -
Our pay gap data 2021
Our pay gap data for 2021, including gender, disability and ethnicity. -
Client Money and Assets
CASS compliance is needed if you control client money. Learn more about CASS rules, when and how to classify your CASS firm and what to submit for your monthly CMAR report. -
FOI9057 Annex A [xlsx]
The FCA provides data on the Senior Manager Functions. -
2013 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2013. -
FCA makes senior hires
As the FCA continues its transformation, it has recruited three experienced individuals to its senior leadership team. -
CP15/5: Approach to non-executive directors in banking and Solvency II firms & Application of the presumption of responsibility to Senior Managers in banking firms [pdf]
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FSA - CP12/32 [pdf]
Consultation FSA - CP12/32 - This Consultation Paper (CP) is the first of two on rules and guidance to transpose the requirements of the Alternative Investment Fund Managers Directive (AIFMD) into UK law. This means making changes to primary and -
FSA - GC11/28 [pdf]
This guidance is likely to be of most relevance to Firms that advise on TLPIs. Investment managers whose investments include exposure to TLPIs. Firms approving financial promotions for TLPIs. -
Bribery and corruption
Your firm should be vigilant about bribery and corruption. Read more on the steps you can take.