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Showing 661 to 670 of 829 search results for senior managers regime.
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FCA fines Reckitt Benckiser £539,800 for listing rule failures
This contributed to late and incomplete disclosure to the market of share dealings by two senior executives. ... There is no suggestion that the senior executives concerned traded on the basis of inside information or deliberately breached the Model Code. -
Statement on how firms should handle post and paper documents
We recognise that during the coronavirus (covid-19) pandemic there will be some important functions, such as processing post, that will be more difficult for firms to do in a timely way. -
Effectiveness and proportionality: our financial crime priorities
Speech by Rob Gruppetta, Head of the Financial Crime Department at the FCA, at our Financial Crime Conference. -
Keynote address: Financial crime in the FCA world
Speech by Tracey McDermott, Director of Enforcement & Financial Crime, the FCA, at the FCA Financial Crime Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Putting the customer at the centre of the business: is it a long road ahead for the FCA?
Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the RiskMinds conference Conduct Forum in Brussels. This is the text of the speech as drafted, which may differ from the delivered version. -
Payday lenders failing customers in arrears, says FCA
These include changes to senior management, training staff to deal with struggling customers and improving monitoring, compliance and managing risk. ... changes to senior management. revising policies and procedures for collections cultures that are -
CP18/29: Temporary permissions regime for inbound firms and funds
The temporary permissions regime will allow EEA firms and funds to continue regulated business in the UK, if the UK leaves the EU in March 2019 without an implementation period in place. This consultation paper sets out how we expect the regime to -
Recovery plans – initial observations
We recently assessed the compliance of firms’ recovery plans with the Recovery and Resolution Directive (RRD) – a comprehensive recovery and resolution regime that helps firms plan for recovery from financial difficulty – ... Other positive -
Comparison of banking providers’ fraud controls
This page contains information about banks’ fraud controls. It is intended to enable consumers and consumer groups to compare how banks protect their customers against fraud, and to help consumers to make better informed choices about their -
PS21/16: Issuing statutory notices – a new approach to decision makers
We are reforming our decision-making process so we can make faster and more effective decisions. This will help us improve how we tackle firms and individuals who do not meet the required regulatory standards.