Search results
Showing 571 to 580 of 829 search results for senior managers regime.
-
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). -
Firms and investment funds that were eligible to notify us to use the TPR
We explain which types of firms and investment funds were eligible to notify us of their intention to use the temporary permissions regime and temporary marketing permissions regime. -
Information for firms during the Brexit implementation period
On 31 January 2020 at 11pm the UK will leave the European Union (EU) and enter an implementation period, which is due to last until 31 December 2020. -
Application to perform a controlled or senior management function: Connect
Application to perform a controlled or senior management function -
Firm handling of complaints during coronavirus
Find out about how firms should handle complaints during coronavirus. -
Financial promotions quarterly data 2023 Q4
We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 October 2023 and 31 December 2023. -
SME collections and recoveries review
Findings from our multi-firm review assessing how retail banks treat their SME customers in collections and recoveries. -
Primary Market Bulletin 44
This edition covers diversity and inclusion, when a prospectus is required in Schemes of Arrangement and regulatory news with multimedia content. -
Investment Association Annual Dinner 2017
Speech by Andrew Bailey, Chief Executive of the FCA, at the Investment Association Annual Dinner 2017. -
Investor protection under MiFID II
Speech by David Geale, Director of Policy, FCA, delivered at the FCA MiFID II Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.