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Showing 681 to 690 of 829 search results for senior managers regime.
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Do I need to worry about benchmark regulation?
Speech by Edwin Schooling Latter, Head of Markets Policy, FCA, delivered at CISI European Regulation Forum on 2 February 2016. This is the text of the speech as drafted, which may differ from the delivered version. -
Consumer investments data review April - September 2021
A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2021 and 30 September 2021. -
The vital relationship between the regulator and the advisory industry
Speech by John Griffith-Jones, Chairman of the FCA, at The Association of Professional Financial Advisers (APFA) Annual Gala Dinner delivered at Banking Hall, London. This is the text of the speech as drafted, which may differ from the delivered -
Open access regime for the trading and clearing of exchange-traded derivatives
From 4 July 2020, trading venues and central counterparties (CCPs) offering the trading and clearing of exchange-traded derivatives will be subject to MiFIR’s open access regime. -
FCA consults on Market Abuse Regulation policy proposals and Handbook changes
The Financial Conduct Authority (FCA) has today published its policy proposals and Handbook changes to support the implementation of the new European Market Abuse Regulation regime, which will apply from 3 ... These concern the requirement to provide an -
FCA establishes industry-led working group for financial advisers
The FCA has appointed Daniel Godfrey as chair and Julia Dreblow as vice-chair of a new working group focused on building capability in sustainable finance across the financial advice sector. The Personal Investment Management & Financial Advice -
CP21/13: A new Consumer Duty
We consult on a Consumer Duty that would set clearer and higher expectations for firms’ standards of care towards customers -
CP16/43: Markets in Financial Instruments Directive II implementation – Consultation Paper IV
We are consulting on our fourth set of implementation proposals for MiFID II and seeking views on our proposed changes to the FCA Handbook. -
The UK listing regime - developments since the UK Listings Review and next steps for reform
Speech by Clare Cole, Director of Market Oversight, at the Westminster Business Forum. -
Branch and ATM closures or conversions; good practice and areas for improvement
Find out more about the good and poor practice the FCA has seen when supervising firms planning branch or ATM closures or conversions.