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Showing 781 to 790 of 829 search results for senior managers regime.
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FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function
The network model is undermined if the senior managers of the principle firm do not carry out their responsibilities.". -
CP18/28: Brexit: proposed changes to the Handbook and Binding Technical Standards – first consultation
In this paper, we publish our proposals on how we will amend our Handbook and EU derived binding technical standards (BTS) if the UK leaves the EU without an implementation period in place. We also set out our proposed approach to EU -
Former B&B Group Finance Director fined £30,000 for failings ahead of 2008 rights issue
Christopher Willford fined £30,000 for failing to provide the board with up-to-date information about B&B’s financial position, including profits, mortgage arrears and re-possessions, ahead of its 2008 rights issue. -
CP20/5: Consultation paper on ETF Listing: Premium to Standard Listing
In our Discussion Paper we asked whether premium listing obligations to open-ended investment companies (OEICs) should be dis-applied and OEICs should be listed in the standard-listing segment. Following our Feedback Statement, we committed to -
Tribunal partly upholds the Financial Conduct Authority’s decision to fine Tariq Carrimjee for assisting a client to commit market abuse
Carrimjee, an investment and fund manager, held senior positions at Somerset at the relevant time and was responsible for compliance oversight. ... Mr Davis, the senior partner and compliance officer at Paul E Schweder Miller & Co and Vandana Parikh, the -
Claims handling lessons learned from business interruption insurance
The FCA sets out the findings from its review assessing how firms handled Business Interruption (BI) insurance claims following the Supreme Court’s judgment on the BI test case, including examples of good practices and areas where firms have -
FCA to introduce new Consumer Duty to drive a fundamental shift in industry mindset
Our plans will ensure a higher and more consistent standard of consumer protection for users of financial services and help to stop harm before it happens. -
FCA appoints David Anthony Scott as Interim General Counsel and Raj Parker as a senior legal adviser
The FCA has appointed David Anthony Scott as its Interim General Counsel. -
Fair, transparent and competitive: the FCA’s vision for the asset management sector
Speech by Clive Adamson, FCA Director of Supervision, at the FCA Asset Management Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Martin Brokers (UK) Limited fined £630,000 for significant failings in relation to LIBOR
Two brokers (including one manager) were central to the collusion, although at least three other individuals (including two managers) spanning two desks played a role. ... structure and governance of LIBOR and the corresponding criminal sanctions regime.