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Showing 471 to 480 of 829 search results for senior managers regime.

471. Apply to become a consumer investments firm

     Firm authorisation Published: 09/11/2023 Last modified: 19/12/2023
     Find out how to apply to the FCA for authorisation if you're a consumer investments firm, such as a financial adviser or investment platform.

472. Information AIF managers - July 2022

     FOI Release Date of Release: 07/07/2022
     FCA provides information on the number of small internal uk alternative investment & EuVECA fund managers who left their post.

473. FCA appoints new Director of Competition

     Press Releases Published: 05/09/2018 Last modified: 05/09/2018
     The Financial Conduct Authority (FCA) has appointed Sheldon Mills as its new director of competition. Sheldon is currently senior director, mergers and state aid at the Competition and Markets Authority (CMA).

474. The FCA consults on its approach ahead of the UK’s exit from the EU

     Press Releases Published: 10/10/2018 Last modified: 10/10/2018
     The Financial Conduct Authority (FCA) today published two consultation papers, setting out its proposals in the event the UK leaves the European Union on 29 March 2019 without an implementation period.  It also set out its approach to the

475. Consumer Duty firm survey – Spring 2023

     Data Published: 28/06/2023 Last modified: 28/06/2023
     The FCA commissioned Ipsos UK to undertake an anonymous survey of 1,230 firms in scope of the Consumer Duty. This survey adds to the FCA's understanding of how prepared firms are for when the Duty comes into force for products and services that are

476. Conduct Risk Briefing

     Speeches Published: 28/11/2014 Last modified: 28/11/2014
     Speech by Robert Taylor, Head of Wealth Management & Private Banking, at the FCA. This is the text of the speech as drafted, which may differ from the delivered version.

477. Modification by consent: CASS 1A.1.1R(3)

     Tasks for regulated firms Published: 08/05/2015 Last modified: 08/12/2022
     Find out how this modification works for CASS medium and CASS large firms, and how to take advantage of it.

478. A to Z of financial terms - Senior managers regime

     Consumers Published: 20/03/2023 Last modified: 20/03/2023
     A to Z of financial services to help you understand financial and legal terms.

479. Defined benefit pension transfers

     Tasks for firms Published: 16/06/2019 Last modified: 19/06/2023
     Read about the FCA's work in defined benefit (DB) transfers to date and the continued supervision in this area.

480. FCA Prudential Supervision Forum

     News stories Published: 21/05/2015 Last modified: 30/03/2018
     We are responsible for the prudential regulation of over 24,000 firms in the UK, covering a wide range of sectors – asset managers, investment firms, platforms and a range of infrastructure ... providers – under various different prudential regimes.