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Showing 591 to 600 of 829 search results for senior managers regime.
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DP23/2: Updating and improving the UK regime for asset management
The FCA wants your views on the current UK regime for regulating funds and asset managers. -
TR14/1 – Transition Management Review
We expect firms to act in the best interests of their customers at all times when moving investment portfolios between managers and markets. ... Our review looked at how firms move investment portfolios between different managers and markets for asset -
The commercial importance of culture to industry
long run reality looks more confronting for senior leaders, with demand-side discipline likely to become a far stronger feature of the market. ... And, at the most senior levels, we’re seeing more advice being offered by those teams on business -
FCA launches the Asset Management Authorisation Hub
The FCA has launched its new asset management authorisation hub. -
Financial services contracts regime
The temporary permissions regime will enable relevant firms and funds which passport into the UK to continue operating in the UK if the passporting regime falls away abruptly when the UK leaves the EU. -
Stuart Bayes found guilty of insider dealing
Mr Stuart Bayes was today found guilty of 2 offences of insider dealing, following an 8-week trial at Southwark Crown Court in a prosecution brought by the Financial Conduct Authority (FCA). -
FS15/1: Discussion on the use of dealing commission
This paper reports on the main issues arising from Discussion Paper DP14/3: Discussion on the use of dealing commission regime, and sets out next steps. -
FCA reforms decision-making to tackle consumer harm
The FCA has reformed its decision-making process to ensure it can make faster and more effective decisions for consumers, markets and firms. -
EEA regulation 57 notification to market form [docx]
National Private Placement Regime – Marketing Notification Form: EEA Alternative Investment Fund Managers (AIFM’s) Marketing Funds under Regulation 57. -
Brexit: information for retail investments firms in the UK
If you have customers based in the EEA, find out what actions we expect you to have taken now the transition period is over.