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Showing 821 to 829 of 829 search results for senior managers regime.
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Review of TCFD-aligned disclosures by premium listed commercial companies
Following the introduction of a climate-related disclosure rule as a first step to improving the quality and quantity of disclosures across the corporate sector, we outline our preliminary observations and reiterate our expectations. -
Upper Tribunal upholds FCA decision to fine and ban Chief Executive of TailorMade Independent Limited, Alistair Burns
On 31 July 2018, the Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to prohibit Alistair Burns, Director and CF1 of TailorMade Independent Limited (TMI) from performing any FCA significant influence or senior management -
Tribunal upholds the Financial Conduct Authority’s decision to censure Arch Financial Products and to fine and ban two of its partners
The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to issue a public censure against Arch Financial Products LLP (Arch), and to prohibit Robin Farrell, its chief executive, and Robert Addison, a senior -
FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly
Ensuring that conflicts of interest are properly managed is central to the relationship of trust that must exist between asset managers and their customers. ... Since discovering the failings, Aviva Investors and its senior management have worked with -
The FCA asks for views on changes it plans to make to its rules and guidance as a result of the introduction of the Innovative Finance ISA and the regulated activity of advising on peer-to-peer agreements
the procedure for switching ISA manager. In addition, if P2P platforms with ‘interim permission’ are able to offer IFISAs or become ISA managers, the FCA will consider whether further information should -
Ending reliance on LIBOR: Overview of progress made on transition to overnight risk-free rates and what remains to be done
Speech by Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA, delivered at the Investment Association, London. -
The Financial Conduct Authority fines FXCM UK £4 million for making ‘unfair profits’ and not being open with the FCA
Although senior managers of the FXCM Group sat on the Board of FXCM UK and knew about the investigation, FXCM UK failed to alert the FCA. -
TR14/16 – How small banks manage money laundering and sanctions risk: update
This report follows the Financial Services Authority’s 2011 report on Bank’s management of high money-laundering risk situations (the 2011 AML review) and the subsequent enforcement action and regulatory guidance. -
FCA publishes update on PPI work – firms have improved complaints handling and are reopening two and a half million old complaints to ensure fair redress is paid
This includes seeking written assurance from some firms that their process is fit for purpose and fair, and formal undertakings (known as attestations) from senior managers within firms to ensure any