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Showing 411 to 420 of 829 search results for senior managers regime.

411. Clearing obligation

     Markets Markets policy Published: 24/05/2016 Last modified: 24/06/2024
     Find out more about the clearing obligation under Article 4 of UK European Market Infrastructure Regulation and the updates to the clearing obligation regime under UK EMIR REFIT.

412. Firm notification form (SUP 15)

     Last modified: 02/04/2024
     Regulated firms and Insolvency Practitioners can complete this form to notify the FCA of an event that has occurred or will occur in the foreseeable future.

413. FCA Final Notice 2013: John Douglas Leslie [pdf]

     Final notices Published: 26/07/2013 Last modified: 07/04/2015
     This final notice refers to breaches of APER 6 related to misselling, lack of fitness/propriety in the investment advisers and platforms sector. We imposed a fine and a prohibition order.

414. FOI7432 response [pdf]

     FOI releases Published: 15/04/2021
     The number of Controlled Functions automatically converted into equivalent Senior Manager Functions, over the last 5 years.

415. Final Notice 2015: David Caplin [pdf]

     Final notices Published: 22/01/2015 Last modified: 22/01/2015
     This final notice refers to breaches of APER 7 and FIT, related to wholesale conduct, benchmarks, culture/governance, lack of fitness and propriety in the trading firms sector. We imposed a fine and a prohibition.

416. Dealing with EEA firms and investment funds

     Consumers Published: 15/12/2020 Last modified: 19/06/2024
     What to check if you’re dealing with an EEA firm in supervised run-off (SRO) or contractual run-off (CRO), or a fund in the temporary marketing permission regime (TMPR).

417. Final Notice 2015: Jeremy Kraft [pdf]

     Final notices Published: 22/01/2015 Last modified: 22/01/2015
     This final notice refers to breaches of APER 6, APER 7 and FIT, related to wholesale conduct, benchmarks, culture/governance, lack of fitness and propriety in the trading firms sector. We imposed a fine and a prohibition.

418. Apply to be a registered AIFM

     Focus areas Published: 06/06/2016 Last modified: 12/07/2024
     Learn how to apply to us to be a small registered Alternative Investment Fund Manager (AIFM), including SEF and RVECA managers.

419. Depositaries

     Focus areas Published: 08/06/2016 Last modified: 01/02/2023
     How to apply to act as a depositary of an authorised or unauthorised Alternative Investment Fund.

420. FCA Final Notice 2013: Mr Andrew Jeffery [pdf]

     Final notices Published: 23/08/2013 Last modified: 07/04/2015
     This final notice refers to breaches of APER1 and APER4 related to insurance fraud in the general insurance and protection sector. We imposed a fine and a prohibition order.