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Showing 561 to 570 of 829 search results for senior managers regime.
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Highlights of the FCA’s approach in 2022
The FCA set out a new three-year strategy in April designed to improve outcomes for consumers and markets. -
From intellectual certainty to debate
We are, as former Vanguard CEO John Bogle said, a long way from the ‘go-go years of the late 60s, when hot managers were treated like Hollywood stars’. ... The equity transparency regime will, in turn, be extended from shares, to other equity-like -
Regulating the UK as a global financial centre
Speech delivered by Nausicaa Delfas, Executive Director of International at City & Financial Global’s Virtual Summit. -
Support for automated models
If you’re developing an automated advice or guidance model, find out more about some of the firms previously supported and how Innovation Pathways can support you. -
Notification of senior person amendments or removal form [docx]
This form is for use by firms that are: • Full-scope internally managed UK AIFMs • EuSEF managers • EuVECA managers. -
Independent review of the Connaught Income Fund Series 1
An independent review into the FSA’s – and subsequently the FCA’s – approach to, implementation and oversight of the Connaught Income Fund Series 1. -
FCA update following the recent coronavirus restrictions statements on Tuesday 22 September
Firms should continue to follow Government advice on working from home until notified otherwise. -
FX remediation programme: our next steps
We launched a remediation programme in 2014 to ensure UK foreign exchange (FX) firms addressed the root causes of failings and to drive up standards across the market. Find out how firms should respond to our findings and our next steps. -
Investigation opening criteria
Factors we consider when deciding to open an investigation, including how we assess serious misconduct. -
CP13/17: Use of dealing commission
We are consulting on proposed changes to our use of dealing commission rules in our Conduct of Business Sourcebook (COBS).