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Showing 491 to 500 of 829 search results for senior managers regime.

491. Investment managers

     Firm authorisation Published: 05/07/2023 Last modified: 19/12/2023
     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.

492. Regulation for a different world

     Speeches Published: 06/05/2021 Last modified: 07/05/2021
     Speech by our CEO, Nikhil Rathi, on Regulation for a Different World at the Association of Foreign Banks.

493. Market Abuse Regulation

     Markets Market abuse Published: 03/05/2016 Last modified: 22/05/2023
     The Market Abuse Regulation (MAR) aims to increase market integrity and investor protection. Find out more about the application and structure of the MAR, market abuse offences and exemptions.

494. Dear CEO letter – financial promotions

     News stories Published: 09/01/2019 Last modified: 09/01/2019
     The letter reminds firms’ senior managers and boards of what constitutes fair, clear and unambiguous financial promotions.

495. Why black inclusion matters to us

     Speeches Published: 22/04/2021 Last modified: 22/04/2021
     Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at New Financial.

496. Locking down market abuse

     Speeches Published: 08/03/2021 Last modified: 08/03/2021
     Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the Expert Forum: Market Abuse 2021.

497. Primary Market Bulletin 32

     Newsletters Published: 03/12/2020 Last modified: 03/12/2020
     Welcome to the 32nd edition of the Primary Market Bulletin (PMB)

498. Report fee tariff data

     Tasks for regulated firms Published: 08/05/2015 Last modified: 15/02/2023
     Read FCA guidance on how to fill in your online tariff data forms and provide information about your firm that will help calculate annual fees for the next financial year.

499. Annual Report 2014/15

     Corporate documents Published: 02/07/2015 Last modified: 25/10/2016
     our review into competition within the wholesale sector. how we have taken significant steps to implement the new Senior Mangers Regime.

500. Direction: no s.272 applications [pdf]

     Handbook Published: 31/12/2020
     Direction stating that fund managers should not submit an application for the full recognition of a fund in the UK’s temporary marketing permission regime under FSMA s.272 until told by the FCA to do so.