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Showing 731 to 740 of 829 search results for senior managers regime.

731. Restrictions placed on Nexus Independent Financial Advisers and Nexus Investment Managers

     News stories Published: 31/01/2023 Last modified: 31/01/2023
     On 25 January 2023, the FCA imposed a number of restrictions on Nexus Independent Financial Advisers and Nexus Investment Managers preventing them from carrying out any regulated activities and restricting access to their assets due to concerns

732. Insider dealer Walid Choucair ordered to pay £3.9 million in confiscation

     Press Releases Published: 22/01/2021 Last modified: 22/01/2021
     Walid Choucair ordered to pay £4m in confiscation costs in respect of being convicted of five offences of insider dealing.

733. PS21/14: A new authorised fund regime for investing in long term assets

     Policy statements Published: 25/10/2021 Last modified: 25/10/2021
     We set out our rules that enable open-ended funds to invest more efficiently in long-term illiquid assets.

734. Agreements with overseas regulators

     About us How we regulate Last modified: 15/01/2024
     Multilateral and bilateral Memoranda of Understanding (MoUs) and other agreements signed by the FCA.

735. FCA issues Final Notice to former CEO for anti-money laundering failings

     Press Releases Published: 18/11/2022 Last modified: 18/11/2022
     We have publicly censured Mohammad Ataur Rahman Prodhan, the former Chief Executive Officer of Sonali Bank (UK) Limited (SBUK) for anti-money laundering (AML) failings.

736. FCA continues action against unregistered crypto ATMs across the UK

     Press Releases Published: 05/05/2023 Last modified: 09/05/2023
     The FCA has inspected sites in Exeter, Nottingham and Sheffield as part of a continued crackdown on this sector.

737. Cryptoasset firms marketing to UK consumers must get ready for financial promotions regime

     Statements Published: 06/02/2023 Last modified: 06/02/2023
     All cryptoasset firms marketing to UK consumers, including firms based overseas, will soon need to comply with the new UK financial promotions regime.

738. TR15/1: Asset management firms and the risk of market abuse

     Thematic reviews Published: 18/02/2015 Last modified: 10/11/2023
     This paper presents our findings from the thematic review of how asset management firms control the risk of committing market abuse.

739. Information on enforcement investigations into non-financial misconduct - December 2020

     FOI Release Date of Release: 23/12/2020
     The FCA provides information on its Enforcement investigations into non-financial misconduct.

740. PS15/16: Strengthening the Alignment of Risk and Reward: New Remuneration Rules

     Policy statements Published: 23/06/2015 Last modified: 23/06/2015
     The FCA and PRA have released new rules for remuneration of banking staff, following recommendations made by the Parliamentary Commission on Banking Standards (‘PCBS’). The rules seek to strengthen the alignment between risk and reward by