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Showing 461 to 470 of 829 search results for senior managers regime.

  1. NPPR supervisory co-operation arrangements (MoUs)

    Published: 27/05/2016 Last modified: 25/09/2023
    The FCA provides information on Memorandums of Understanding (MoUs) and it is a pre-condition under the Alternative Investment Fund Managers Directive (AIFMD)

  2. Brexit: the FCA confirms final rules for firms

    Press Releases Published: 29/03/2019 Last modified: 29/03/2019
    The Financial Conduct Authority (FCA) has today published its final instruments and guidance that will apply in the event the UK leaves the EU without a deal or an implementation period.

  3. FCA pay gap data 2023

    Data Published: 20/07/2023 Last modified: 03/05/2024
    The FCA pay gap data for 2023 covers the reporting period 1 April 2022 to 31 March 2023.

  4. FCA makes three senior hires

    Press Releases Published: 05/04/2022 Last modified: 05/04/2022
    The FCA has appointed two new Directors of Authorisations as it successfully fills 95 new authorisation roles. A new Finance Director will also join the regulator this spring. 

  5. Decision Notice 2024: David John Alexander Stephen [pdf]

    Decision notices Published: 24/06/2024
    This Decision Notice (David John Alexander Stephen) refers to breaches of PRIN 1 and PRIN 6 related to failing to act with integrity and to failing to exercise due care, skill and diligence in the pensions sector. Our view is that a financial

  6. Our ambitious agenda for UK asset management

    Speeches Published: 23/05/2024 Last modified: 28/06/2024
    Speech by Ashley Alder, FCA chair, at the Bloomberg Buy-side Forum.

  7. FCA Final Notice 2013: Daniel Christopher Conway [pdf]

    Final notices Published: 17/12/2013 Last modified: 07/04/2015
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the wealth management and private banking, investment advisers and platforms sector. We imposed a prohibition.

  8. Apply to be an authorised AIFM

    Markets Published: 05/06/2016 Last modified: 05/07/2023
    Learn how to apply to us to become a full-scope AIFM or a small authorised AIFM, including what permissions you'll need and how much you'll need to pay.

  9. Client assets and coronavirus (Covid-19)

    Firms Tasks for regulated firms Published: 06/04/2020 Last modified: 13/02/2023
    Summary of queries we have received and our position on client assets (CASS) compliance related to the current disruption caused by coronavirus (Covid-19).

  10. Contract for differences

    Tasks for firms Published: 09/01/2017 Last modified: 21/04/2023
    Find out about the FCA's expectations of providers and brokers offering retail consumers contract for differences (CFD) products, which include spread betting and rolling spot foreign exchange (FX).
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