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Showing 761 to 770 of 829 search results for senior managers regime.
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TR15/3: Arrears and Forbearance in High-Cost Short-term Credit
We scrutinised each firm’s procedures and visited their offices to interview and observe managers and staff. ... However, we also saw that many firms are making changes to improve, including changing senior management, training staff to deal with -
Aberdeen Asset Managers and Aberdeen Fund Management fined £7.2 million for failing to protect client money
The Financial Conduct Authority (FCA) has fined Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited (Aberdeen) £7,192,500 for failing to identify, and therefore properly protect, client money placed in Money Market Deposits (MMDs) -
Findings of multi-firm review into insurers' valuation of vehicles
We set out the findings from our review which assesses firms’ claims-handling processes for valuing vehicles which have been stolen or written-off (‘total-loss’ claims). -
Regulating the pensions and retirement income sector: an FCA perspective
Speech by Deb Jones, Director of Supervision, Life Insurance and Financial Advice, delivered at the FCA/TPR: Our Joint Regulatory Strategy - one year on event. -
Levelling the playing field – innovation in the service of consumers and the market
Speech by our CEO, Nikhil Rathi, to FinTech Week. -
Understanding approaches to D&I in financial services
The FCA observed how financial services firms are designing and embedding diversity and inclusion strategies. The observations give an overview of initiatives to improve diversity and inclusion, which industry leaders can consider in reviewing their -
Best practice note - Identifying, controlling and disclosing inside information
This note is for government departments, industry regulators and public bodies to help them in complying with the relevant obligations under MAR. -
FS15/3: Strengthening accountability in banking: UK branches of foreign banks – Feedback on FCA CP15/10
In this paper we are providing near-final rules in anticipation of secondary legislation that will extend the statutory elements of the regime to incoming branches. ... The regime does not apply to Europe Economic Area (EEA) firms that do not have a -
Key findings on our recent work on pension transfer advice
Pension transfers have been a priority for us throughout 2018. Our work has focussed in particular on those firms most active in the market. We have also looked more closely into some firms based on intelligence (for example whistleblowing) we -
Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings
A total of four individuals (a manager and a trader at each firm) colluded with each other in the manipulation of the firms’ Repo Rate submissions without any oversight or challenge. ... manipulation, including one manager who was also involved in the