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Showing 791 to 800 of 829 search results for senior managers regime.
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State Street UK fined £22.9m by Financial Conduct Authority for Transitions Management failings
Where the change is large and complex, the pension fund trustee may appoint a transition manager to project manage and effect the transition. ... A transition manager can charge fees and generate revenue in a number of different ways. -
FS23/3: Government-regulator response to ‘Value for Money: A framework on metrics, standards and disclosures'
FCA, DWP and TPR's joint response to feedback received and next steps. -
J.P. Morgan International Bank fined for systems and controls failings in its wealth management business
The Financial Conduct Authority has fined J.P. Morgan International Bank Limited (JPMIB) £3,076,200 for systems and controls failings relating to its provision of retail investment advice and portfolio investment services. -
FSA publishes guidance to help firms avoid poorly managed incentive schemes that drive mis-selling
The Financial Services Authority (FSA) has published final guidance that will help financial firms avoid creating and operating incentives schemes that drive mis-selling. -
The FCA censures Catalyst Investment Group Limited for misleading investors and fines former compliance officer
he Financial Conduct Authority (FCA) has censured Catalyst Investment Group Limited (Catalyst) for recklessly misleading investors when promoting bonds offered by ARM Asset Backed Securities SA (ARM) between November 2009 and May 2010. -
FCA review finds weaknesses in some ‘host’ Authorised Fund Management firms’ governance and operations
The Financial Conduct Authority (FCA) has called for so-called ‘host’ Authorised Fund Managers (AFMs) to improve their standards following a review of firms published today. -
PS14/10: Client money held in Individual Savings Accounts and feedback to CP14/9 and final rules
allowing investment firms that manage cash ISAs to opt into the CASS regime and elect to hold money in cash ISAs as client money. ... This PS should be read by:. ISA managers who manage either stocks and shares ISAs or cash ISAs and hold, or wish to hold, -
FCA finds further work required to fully embed ‘Guiding Principles’ for ESG and sustainable investment funds
A review by the FCA has found that while most Authorised Fund Managers (AFMs) have made efforts to comply with the FCA’s expectations on the design, delivery, and disclosure of their ESG and sustainable funds, further improvement is needed. -
TR18/4: Pricing practices in the retail general insurance sector: Household insurance
This report sets out the key findings of our thematic work on the pricing practices of household insurance firms. It then details our expectations of firms and our next steps. -
Information on the number of interviews held with individuals applying for senior management function roles prior to FCA approval - November 2020
FCA provides information on the number of interviews held with individuals applying for senior management function roles prior to approval.