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Showing 711 to 720 of 829 search results for senior managers regime.
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Remuneration and performance management of sales staff (SYSC 19F)
FCA provides rules on staff incentives and the remuneration of sales staff and advisers. -
Tribunal upholds the Financial Conduct Authority’s decision to impose a partial ban on Tariq Carrimjee
On 20 October 2016 the Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Tariq Carrimjee of Somerset Asset Management LLP (Somerset) from carrying out the compliance oversight and money laundering reporting significant -
PS13/5 Implementation of the Alternative Investment Fund Managers Directive
We are setting out our rules for implementing the Alternative Investment Fund Managers Directive (AIFMD) and responding to the feedback to our consultation. -
FCA publishes Decision Notice against former CEO of Sonali Bank (UK) Ltd for AML failings
The Financial Conduct Authority (FCA) has today published a Decision Notice in respect of Mohammad Ataur Rahman Prodhan, the former Chief Executive Officer of Sonali Bank (UK) Limited (SBUK), fining him £76,400. -
The Financial Conduct Authority named as a Best Employer for Race in new listing
The Financial Conduct Authority has today has been named by Business in the Community as one of the UK’s Best Employers for Race in a new listing published today (1 November 2017). -
Information on open investigations related to the asset management sector - April 2021
The FCA provides information on investigations it has launched in relation to the asset management sector and senior management functions. -
The FCA decides to ban and fine Timothy Roberts and Andrew Wilkins
FCA has published decision notices against Timothy Roberts, the chief executive, and Andrew Wilkins, a former director of Catalyst Investment Group Limited (Catalyst). -
Authorised fund managers’ assessments of fund value 2023
Feedback following the second MFR of Authorised Fund Managers compliance with our Assessment of Value rules. -
Retail and Wholesale Banking: review of firms’ whistleblowing arrangements
We have reviewed how firms have implemented our whistleblowing rules. We have published the findings, including the areas of good practice we observed and areas for improvement, together with our expectations on firms’ whistleblowing arrangements. -
FCA bans director from working in financial services after violent criminal conviction
We have banned Mr Ashkan Zahedian from working in financial services following his conviction for serious, violent offences