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Showing 771 to 780 of 829 search results for senior managers regime.
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FCA finds fund managers’ value assessments significantly improved, but still work to do
Following a review of fund managers’ value assessments, we found that while many firms have better practices in place, some still require improvement. -
RBS fined £87.5 million for significant failings in relation to LIBOR
The Financial Services Authority (FSA) has fined The Royal Bank of Scotland plc (RBS) £87.5 million for misconduct relating to the London Interbank Offered Rate (LIBOR). -
FCA welcomes a significant milestone in the development of standards in FX markets through the publication of the BIS Global FX Code
In addition to firms’ ongoing obligation to comply with these regulatory requirements, the FCA expects firms and responsible senior managers to ensure their staff satisfy appropriate standards of market practice. -
Capital Markets Union – a regulator’s perspective
Speech by David Lawton, Director of Markets, Policy and International, at the FCA, delivered at the Deutsche Borse Group ‘Blueprint for a European Capital Markets Union’ event on 27 May 2015 at the ETC venues, London. This is the text of the -
ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR
Three brokers (including one manager) were central to the collusion, although at least seven other individuals (including another manager) spanning three desks also participated. ... Managers were responsible for monitoring day-to-day misconduct, but -
FCA launches 'Live & Local': a new regional programme to help local firms engage with regulators
The panel will comprise senior FCA and industry representatives. Week 4 - The FCA will host a Chairman’s lunch with around 15 firms where John Griffith-Jones, the FCA’s Chairman, ... The events will be attended by FCA specialists and senior managers. -
FCA publishes guidance consultation for firms who seek to limit their liabilities
We have seen an increase in the number of firms developing proposals, such as Scheme of Arrangements, to deal with significant liabilities to consumers, in particular redress liabilities. -
Information about FCA's oversight of rules on production of value statements by asset managers 2019-2021 – September 2021
FCA provides information about FCA's oversight of rules on production of value statements by asset managers 2019-2021. -
Consumers struggling to understand structured products as Financial Conduct Authority calls for improvements from firms
A behavioural economics research paper published today by the Financial Conduct Authority (FCA) has found that many consumers overestimate the expected returns on structured deposits. -
FCA finds small firms need to manage financial crime risks more effectively
The Financial Conduct Authority (FCA) has found that many small banks and commercial insurance intermediaries fail to effectively manage financial crime risk.