Search results

Showing 611 to 620 of 829 search results for senior managers regime.

611. UK Financial Conduct Authority and Australian Securities and Investments Commission agree to strengthen cooperation post-Brexit

     Press Releases Published: 08/04/2019 Last modified: 08/04/2019
     The UK Financial Conduct Authority (FCA) and the Australian Securities and Investments Commission (ASIC) today announced they have agreed two Memoranda of Understanding to ensure there is continuity once the UK leaves the European Union. The MoUs

612. Recent developments in financial markets

     Speeches Published: 01/03/2018 Last modified: 09/03/2018
     Speech by Andrew Bailey, Chief Executive of the FCA, at the Association for Financial Markets in Europe (AFME), International Capital Market Association (ICMA) and International Swaps and Derivatives Association (ISDA) breakfast briefing.

613. The role of regulation in encouraging investment in the City

     Speeches Published: 25/09/2023 Last modified: 25/09/2023
     Speech by Sarah Pritchard, Executive Director, Markets and Executive Director, International at the City and Financial Global: Future of UK Capital Markets Regulation event.

614. PS16/2: Implementation of the UCITS V Directive

     Policy statements Published: 02/02/2016 Last modified: 02/02/2016
     UCITS management companies and alternative investment fund managers (AIFMs). depositaries and custodians of UCITS and AIFs. ... The Handbook changes affecting managers and depositaries of AIFs will also take effect on this date.

615. Statement on communications in relation to PRIIPs and UCITS

     Statements Published: 30/11/2023 Last modified: 30/11/2023
     Issuing limited forbearance to allow firms to provide additional disaggregated disclosure on costs and charges to support the aggregated figure. This is the result of engagement with the investment trust industry.

616. Information on notifications of senior person amendments or removals - May 2022

     FOI Release Date of Release: 25/05/2022
     The FCA provides data on notifications of senior person amendments or removals.

617. Data on criminal convictions for the period 2016 to 2021 - July 2022

     FOI Release Date of Release: 13/07/2022
     FCA providing information Criminal convictions obtained by the FCA for the period 2016 to 2021.

618. We invite Politically Exposed Persons to share their experiences

     News stories Published: 15/08/2023 Last modified: 15/08/2023
     We have written to MPs, peers and other interested parties

619. Efficiency and effectiveness: our approach to primary markets

     Speeches Published: 01/03/2017 Last modified: 01/03/2017
     Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at Bloomberg.

620. Our response to the Parliamentary Commission on Banking Standards

     Documents Published: 07/10/2013 Last modified: 07/10/2013
     We will consult on a series of proposals in 2014, including the introduction of a new Senior Persons Regime for deposit-taking institutions.