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Showing 441 to 450 of 829 search results for senior managers regime.

  1. Our innovation services

    Firms Published: 27/03/2022 Last modified: 01/08/2023
    The FCA promotes innovation by offering a range of market facing tools and services for innovative firms. Find out more about the support on offer.

  2. The New Market Infrastructure

    Speeches Published: 16/05/2014 Last modified: 29/11/2016
    Keynote speech by David Lawton, Director of Markets, at the Economist Bellwether Conference. This is the text of the speech as drafted, which may differ from the delivered version.

  3. Decision Notice 2023: Edmund Lloyd Rowland [pdf]

    Decision notices Published: 05/05/2023
    This Decision (Edmund Lloyd Rowland) Notice 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 £352,000 and prohibition should be imposed.

  4. Business Plan 2021/22

    Business plans Published: 15/07/2021 Last modified: 19/08/2021
    Our Business Plan 2021/22 explains how we see our future role and priorities, how we intend to deliver them and how we will measure our performance.

  5. FCA Final Notice 2014: Ian Charles Hannam [pdf]

    Final notices Published: 22/07/2014 Last modified: 07/04/2015
    This final notice refers to breaches of MAR related to market abuse in the investment banks sector. We imposed a fine.

  6. FCA Final Notice 2013: Kevin Peter Wells [pdf]

    Final notices Published: 18/04/2013 Last modified: 07/04/2015
    This final notice refers to breaches of APER6, APER7, and FIT related to lack of fitness/propriety, client money/assets. We imposed a fine, a prohibition a public censure.

  7. Final Notice 2015: Michael John Allin [pdf]

    Final notices Published: 05/03/2015 Last modified: 05/03/2015
    This final notice refers to breaches of APER 4 related to failure to be open and cooperative with the Authority. We imposed a fine.

  8. UK’s exit from the EU delayed

    Statements Published: 30/10/2019 Last modified: 30/10/2019
    The EU and the UK have agreed to extend the date for the UK’s departure from the EU. As a result, firms do not need to take action to implement Brexit contingency plans for 31 October.

  9. Experienced professionals

    Join us Published: 28/09/2016 Last modified: 05/03/2024
    Find out what we look for in candidates, learn about the wide range of benefits available to our employees and access resources to support your application.

  10. UK SFTR reporting obligation

    Markets Published: 11/03/2020 Last modified: 23/10/2023
    We explain the UK Securities Financing Transactions Regulation (SFTR) reporting requirements and what they mean for your firm.
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