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Showing 451 to 460 of 829 search results for senior managers regime.

451. 2013 fines

     News stories Published: 02/01/2013 Last modified: 26/03/2024
     Fines published during the calendar year ending December 2013.

452. UK AIFM marketing and passporting

     Firms Published: 08/06/2016 Last modified: 08/02/2023
     Find out about UK AIFMs marketing and passporting.

453. Fund tokenisation

     Published: 24/11/2023 Last modified: 26/03/2024
     We are working with industry to explore potential uses of fund tokensiation which could make collective investment schemes more efficient, transparent, and accessible to a wider range of consumers.

454. FCA Final Notice 2014: Jonathan Paul Burrows [pdf]

     Final notices Published: 15/12/2014 Last modified: 15/12/2014
     This final notice refers to breaches of FIT relating to a lack of fitness/propriety in the asset management sector. We imposed a prohibition.

455. Reporting obligation

     Markets policy Published: 22/05/2016 Last modified: 12/07/2024
     Under UK European Markets Infrastructure Regulation (UK EMIR) requirements, all counterparties must report any derivative contract concluded, modified or terminated. Find out more about submitting your firm's obligations.

456. Heads of compliance and MLROs

     Firms Published: 28/01/2022 Last modified: 08/12/2022
     Make sure you understand our expectations if your firm is applying to us to approve individuals to these positions.

457. Agreements with overseas regulators

     About us What we do Last modified: 17/12/2021
     See the Memoranda of Understanding (MoUs) and other agreements we have with overseas regulators.

458. How we are making form filling easier for applicants

     Blogs Published: 12/10/2023 Last modified: 12/10/2023
     The FCA is making improvements to the application process for authorisation and the first form we're looking at is Form A.

459. Restrictions placed on Mrs Lisa Campbell

     News stories Published: 04/04/2023 Last modified: 31/08/2023
     On 3 April 2023, we imposed a number of conditions on the approval of Mrs Lisa Campbell as a senior manager of Campbell & Associates Independent Financial Advice Limited.

460. Policy development update

     News stories Published: 02/07/2020 Last modified: 10/09/2021
     The policy development update provides some information on our recent and upcoming publications but should not be regarded as comprehensive.