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Showing 431 to 440 of 829 search results for senior managers regime.

431. UK AIFM forms

     Firms Investment managers Focus areas Published: 08/06/2016 Last modified: 08/02/2023
     We list the forms UK AIFMs need in order to vary permissions, submit applications, notifications and make other changes.

432. Knowledge Base

     Markets Primary markets Published: 02/05/2016 Last modified: 29/04/2024
     The Knowledge Base is our source of technical guidance on our Listing Rules, Prospectus Regulation Rules and Disclosure and Transparency Rules.

433. Diversity, Equity and Inclusion (DEI) Innovation Spotlight

     Published: 24/08/2022 Last modified: 22/03/2023
     Find out about our Innovation hub's Diversity, Equity and Inclusion spotlight encouraging FinTech innovation in the DEI space

434. 2014 fines

     News stories Published: 02/01/2014 Last modified: 31/08/2016
     This table contains information about fines published during the calendar year ended December 2014. The total amount of fines is £1,471,431,800.

435. Supervision of UK regulated covered bonds

     Published: 13/05/2016 Last modified: 23/06/2023
     Find out about our role supervising regulated covered bond programmes and regulated covered bonds, key features of the regime and stress testing.

436. Market Watch 74

     Newsletters Published: 25/07/2023 Last modified: 25/07/2023
     n this Market Watch, we describe some of our recent supervisory observations, covering RTS 22 transaction reporting and the submission of financial instrument reference data under RTS 23.

437. Financial Crime Conference 2016

     Events Last modified: 06/12/2016
     This conference was held in London for MLROs, senior management and compliance practitioners from regulated firms, and other interested parties.

438. Leadership and conduct

     Speeches Published: 31/03/2014 Last modified: 31/03/2014
     Speech by Martin Wheatley, Chief Executive, the FCA, at City Week 2014: International Financial Services in the Post-Reform World: Opportunities and Challenges. This is the text of the speech as drafted, which may differ from the delivered version.

439. Decision Notice 2023: David Edward Weller [pdf]

     Decision notices Published: 05/05/2023
     This Decision Notice (David Edward Weller) refers to breach of Conduct Rule 1 (COCON 2.1.1R) related to failing to act with integrity in the private banking sector. Our view is that a financial penalty of £54,000 and prohibition should be imposed.

440. Brexit and beyond

     Speeches Published: 21/03/2019 Last modified: 21/03/2019
     Speech delivered by Nausicaa Delfas, Executive Director of International at the FCA, at City and Financial, 4th UK Financial Services Brexit Summit.