Search results

Showing 671 to 680 of 829 search results for senior managers regime.

671. Treasury, Bank of England and FCA convene working group to facilitate investment in productive finance

     Press Releases Published: 20/11/2020 Last modified: 20/11/2020
     The Treasury, the Bank of England and the FCA are convening an industry working group to facilitate investment in productive finance.

672. Annual classification and notification

     Tasks for regulated firms Published: 13/08/2015 Last modified: 10/02/2023
     All firms carrying on investment business with relevant permissions to hold client money and/or safe custody assets must notify us of their CASS firm type classification annually.

673. Supporting material for applications by consumer credit, mortgage and other consumer finance firms

     Firm authorisation Published: 15/11/2023 Last modified: 13/12/2023
     If you're applying to be authorised by the FCA, find out what supporting material to include in your application and how to prepare everything.

674. FCA launches campaign to encourage individuals to report wrongdoing

     Press Releases Published: 24/03/2021 Last modified: 24/03/2021
     The campaign, 'In confidence, with confidence', encourages individuals working in financial services to report potential wrongdoing to the FCA.

675. Overseas appointed representatives

     Tasks for firms Published: 27/06/2024 Last modified: 27/06/2024
     Read more about the challenges and expectations for principal firms with overseas appointed representatives (OARs).

676. FCA response to Payment Systems Regulator’s paper on authorised push payment scams

     Statements Published: 07/11/2017 Last modified: 30/08/2023
     The Financial Conduct Authority (FCA) has contributed to the Payment Systems Regulator (PSR) paper on 'Authorised Push Payment Scams'.

677. Mark Lyttleton sentenced to 12 months imprisonment for insider dealing

     Press Releases Published: 21/12/2016 Last modified: 21/12/2016
     In a prosecution brought by the Financial Conduct Authority (FCA) Mark Lyttleton, a former Equity Portfolio Manager at BlackRock Investment Management (UK) Limited, has today been sentenced to 18 months reduced with credit to 12 months on two counts

678. FCA appoints members for the UK Secondary Markets Advisory Committee

     Markets News stories Published: 24/06/2024 Last modified: 24/06/2024
     The FCA has appointed the members of its advisory committee on secondary markets for the period June 2024 to June 2026.

679. FCA sets out expectations for investment managers on dealing commission

     Press Releases Published: 08/05/2014 Last modified: 08/05/2014
     FCA sets out expectations for investment managers on dealing commission. Press Releases First published:. ... They will prevent investment managers using dealing commission to pay for access to senior staff at firms they invest in (corporate access).

680. New Cost Benefit Analysis Panel to be chaired by Dr Felix Martin

     Press Releases Published: 05/06/2024 Last modified: 05/06/2024
     Dr Felix Martin has been appointed chair of the FCA's new, independent Cost Benefit Analysis Panel.