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Showing 481 to 490 of 829 search results for senior managers regime.
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FCA statement on share trading obligations
The FCA's response to ESMA’s statement on share trading obligations under MiFID II. -
Liquidity data items: FAQs
Liquidity data items: FAQs -
Apply to become a mortgage broker
Find out what permissions you'll need to apply to the FCA for authorisation, and what the FCA expects to see in your application. -
Final Notice 2015: Anthony Rendell Boyd Wills [pdf]
This final notice refers to breaches of APER 4 related to failure to be open and cooperative with the Authority. We imposed a fine. -
Sponsor conflicts of interest
Our rules require sponsors to identify and manage different conflicts of interest. Learn about our involvement in assessing conflicts. -
Recruiting key staff and managing the risk of leaving: credit unions
Find out how to manage the risk caused by losing an important member of staff who holds vital information about your credit union. -
SRO / TMPR fees and levies
We explain the fees that firms in the TPR and TMPR will need to pay. -
Statement on MiFID II inducements and research
FCA welcomes the US Securities and Exchange Commission’s extension of no-action relief relating to MiFID II inducements and research provisions -
Amend a recognised fund
To amend a recognised fund you must send us a notification for approval of the proposed change. -
Investment managers
Find out what permissions you'll need to apply to the FCA for authorisation, how much you'll need to pay and what the FCA expects to see in your application.