Search results

Showing 601 to 610 of 829 search results for senior managers regime.

601. Temporary permissions regime (TPR) data: solo-regulated firms

     Data Published: 29/01/2024 Last modified: 29/01/2024
     This page provides a data summary of the firms under the temporary permissions regime (TPR).

602. Financial promotions quarterly data 2023 Q1

     Data Published: 05/05/2023 Last modified: 04/08/2023
     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 January 2023 to 31 March 2023 .

603. FCA sets out its approach to the share trading obligation

     Press Releases Published: 04/11/2020 Last modified: 04/11/2020
     We confirm our approach to the STO) at the end of the Brexit transition period, if mutual equivalence is not agreed.

604. Apply to become a sponsor

     Markets Published: 04/05/2016 Last modified: 16/12/2022
     If your firm is looking to act as a Sponsor, there are several steps. Read more about the application process and what happens after you're approved.

605. Maintaining market confidence: an update on Brexit

     Speeches Published: 05/11/2018 Last modified: 05/11/2018
     Speech delivered by Nausicaa Delfas, Executive Director of International at the City and Financial: 3rd UK Financial Services Brexit Summit

606. FCA fines LJ Financial Planning Ltd £107,200

     Press Releases Published: 10/12/2020 Last modified: 10/12/2020
     Independent financial advice firm is fined for providing its customers with unsuitable pension switching and transfer advice and failing to manage its conflicts of interest.

607. Wealth Management Association (formerly APCIMS) speech

     Speeches Published: 09/10/2013 Last modified: 10/10/2013
     Speech by FCA Chairman, John Griffith-Jones, delivered to the Wealth Management Association in London. This is the text of the speech as drafted, which may differ from the delivered version.

608. Full-scope Gibraltar alternative investment fund managers (AIFMs) marketing funds under Regulation 57 [docx]

     Published: 31/12/2020
     National Private Placement Regime – marketing notification form

609. MiFID II – the road ahead

     Speeches Published: 20/10/2015 Last modified: 26/10/2015
     Speech by David Lawton, Director of Markets Policy and International, 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.

610. FCA sets out latest expectations for firms on Brexit

     Press Releases Published: 11/10/2019 Last modified: 11/10/2019
     The FCA and regulated firms have been taking steps to prepare in the event the UK leaves the EU on 31 October 2019 without a deal.