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Showing 441 to 450 of 493 search results for under MiFID II.

441. Information on number of enforcement investigations opened against individuals under the Senior Managers & Certification Regime - November 2020

     FOI Release Date of Release: 18/11/2020
     FCA provides information on number of enforcement investigations opened against individuals under the Senior Managers & Certification Regime.

442. What are the lessons for insurance supervisors from the recent financial crisis?

     Speeches Published: 12/02/2013 Last modified: 09/04/2024
     Speech by Adair Turner, FSA Executive Chairman at the Swedish Central Bank.

443. Information on FCA's exercise of concurrent competition enforcement powers - July 2021

     FOI Release Date of Release: 02/07/2021
     The FCA provides information relating to the exercise of concurrent competition enforcement powers under the Competition Act 1998 between 1 April 2015 and 15 Jun 2021.

444. Andrew Bailey introductory speech on multilateralism and global coordination: A case for balancing autonomy and co-operation in the interests of financial markets

     Speeches Published: 06/09/2018 Last modified: 06/09/2018
     Speech by Andrew Bailey, Chief Executive of the FCA, at the Eurofi Financial Forum, on multilaterialism and global coordination. 

445. FCA responds to independent reviews into its regulation of London Capital & Finance and Connaught

     Press Releases Published: 17/12/2020 Last modified: 17/12/2020
     The FCA has responded to the independent investigations of its supervision of London Capital & Finance plc (LCF) and Connaught Income Fund Series 1 and connected companies (Connaught)

446. Information on enforcement investigations opened against individuals (SMR) - May 2022

     FOI Release Date of Release: 11/05/2022
     The FCA provides data on enforcement investigations opened against individuals (SMR).

447. FCA seeks industry views on a new prudential regime for UK investment firms

     Press Releases Published: 23/06/2020 Last modified: 11/04/2024
     The FCA has published a discussion paper on a prudential regime for UK investment firms.

448. PS21/4: Extension of Annual Financial Crime Reporting Obligation

     Policy statements Published: 30/03/2021 Last modified: 29/03/2022
     This PS summarises our proposal to increase the number of firms who need to submit the annual financial crime report, which we refer to as ‘REP-CRIM’.

449. Can robo-advice improve borrower repayment decisions?

     Research articles Published: 30/08/2022 Last modified: 30/08/2022
     Analysis showing that a simple automated ‘robo-advice’ tool significantly improved borrower repayment decisions in a randomised controlled trial.

450. Monitoring orders and transactions – our expectations of firms

     Speeches Published: 31/01/2013 Last modified: 29/03/2013
     Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum