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Showing 1451 to 1460 of 1891 search results for through Scamsmart.

  1. FCA extends the Senior Managers and Certification Regime to 47,000 firms

    Firms News stories Published: 09/12/2019 Last modified: 09/12/2019
    FCA extends the Senior Managers and Certification Regime to 47,000 firms

  2. Financial services exemptions in forthcoming Corporate Insolvency and Governance Bill

    Statements Published: 14/05/2020 Last modified: 14/05/2020
    These measures are expected to be included in the Corporate Insolvency and Governance Bill (Bill).

  3. Remuneration and performance management of sales staff (SYSC 19F)

    Tasks for regulated firms Published: 23/05/2018 Last modified: 10/02/2023
    FCA provides rules on staff incentives and the remuneration of sales staff and advisers.

  4. Occasional Paper No. 29: Aggregate market quality implications of dark trading

    Occasional papers Published: 01/08/2017 Last modified: 01/08/2017
    In this paper, we examine the impact of dark trading on aggregate market quality in the UK.

  5. Annual Report 2015/16 and Competition Report 2013-16

    Corporate documents Published: 12/07/2016 Last modified: 07/12/2016
    influencing policy and technical standards internationally through bodies such as the European Securities and Markets Authority, the International Organization of Securities Commissions and the Financial Stability Board. ... working closely with

  6. Pension freedoms data collection exercise: analysis and findings

    News stories Published: 16/09/2015 Last modified: 16/09/2015
    We will continue to track choices made by individuals through a new quarterly provider survey, as well as more generally developing pension policy, monitoring market developments, and supervising firms that are

  7. FCA prohibits six individuals for their part in unauthorised collective investment scheme

    Press Releases Published: 01/11/2016 Last modified: 01/11/2016
    In a case brought by the Financial Conduct Authority (FCA) Scott Crawley, Daniel Forsyth, Adam Hawkins, Ross Peters, Aaron Petrou and Dale Walker have today been prohibited from performing any function in relation to any regulated activity for their

  8. FS15/2: Wholesale sector competition review 2014-15

    Feedback statements Published: 19/02/2015 Last modified: 04/11/2019
    This paper reports on the main themes arising from the responses to the call for inputs for the wholesale sector competition review, and sets out next steps for the review.

  9. Financial Conduct Authority confirms approach to improving responsibility and accountability in the banking sector

    Press Releases Published: 16/03/2015 Last modified: 16/03/2015
    Senior Managers Regime - The SMR seeks to promote a clear allocation of responsibilities to key decision-makers and strengthen their individual accountability through a robust initial and ongoing assessment of their ... The WMS noted that the

  10. FCA urges victims to come forward after Court orders compensation for victims of illegal investment scheme

    Press Releases Published: 30/06/2021 Last modified: 30/06/2021
    For investors who bought shares in Pearl Island International LLC, Paragon Private Wealth LLC, Berkeley Brookes LLC or Atlantic Equity LLC