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Showing 651 to 660 of 829 search results for senior managers regime.

651. Sustainability disclosure and labelling regime confirmed by the FCA

     Press Releases Published: 28/11/2023 Last modified: 29/11/2023
     The FCA has confirmed a substantial package of measures to improve the trust and transparency of sustainable investment products and minimise greenwashing.

652. First Supervisory Notice 2023: Lisa Maureen Campbell and Campbell & Associates Independent Financial Advice Limited [pdf]

     Supervisory notices Published: 04/04/2023
     For the reasons given in this First Supervisory Notice, the Financial Conduct Authority has decided to impose the following conditions on Lisa Campbell’s approval as a senior manager at Campbell & Associates Independent Financial Advice Limited

653. CP23/15: The framework for a UK consolidated tape

     Consultations Consultation papers Published: 05/07/2023 Last modified: 20/12/2023
     We’re consulting on our proposed framework for establishing a consolidated tape (CT) in the UK.

654. General insurance pricing attestation multi-firm review

     Multi-firm reviews Published: 02/12/2022 Last modified: 02/12/2022
     Assessing how firms satisfied themselves that they do not systematically discriminate against motor and home insurance customers based on the number of years they have held their policy, including any renewal (tenure).

655. Cryptoasset AML / CTF regime: feedback on good and poor quality applications

     Tasks for firms Published: 22/03/2023 Last modified: 03/07/2024
     Feedback on good and poor quality applications made to the FCA under money laundering regulations.

656. CP24/7: Payment Optionality for Investment Research

     Consultation papers Published: 10/04/2024 Last modified: 02/07/2024
     We are consulting on giving UK buyside firms – asset managers and others – greater flexibility on how they can purchase such research

657. Consumer investments data review April 2020 - March 2021

     Data Published: 15/09/2021 Last modified: 13/06/2023
     A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2020 and 31 March 2021.

658. FCA to ask firms for their views on MiFID II implementation

     Press Releases Published: 26/03/2015 Last modified: 08/11/2016
     boutiques; and whether to remove the current recording exemptions for discretionary investment managers in our domestic regime. ... Exploring potential MiFID II inducement rules for advisers, discretionary investment managers and other firms.

659. Outcomes-focussed regulation: a measure of success?

     Speeches Published: 06/05/2021 Last modified: 11/06/2024
     Speech by Charles Randell, Chair of the FCA and PSR, to the Building Societies Association

660. Brexit: information for participants in the wholesale markets operating in the UK (including wholesale banks, wholesale markets and asset managers)

     Firms Published: 26/02/2019 Last modified: 13/03/2024
     Passporting between the UK and EEA states has now ended. Find out more about the other ways in which firms can access the EEA.