Search results
Showing 231 to 240 of 619 search results for under the Senior Managers Regime.
-
UBS fined £160 million for significant failings in relation to LIBOR and EURIBOR
The Financial Services Authority (FSA) has fined UBS AG (UBS) £160 million for misconduct relating to the London Interbank Offered Rate (LIBOR) and the Euro Interbank Offered Rate (EURIBOR). This is the largest fine ever imposed by the FSA. -
Information on non-financial misconduct and financial misconduct allegations - May 2022
The FCA provides information on the types of allegations received by its whistleblowing team. -
Insurance brokers: serving consumers and businesses in times of uncertainty and change
Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the British Insurance Brokers' Association (BIBA) Conference. -
Why free trade and open markets in financial services matter
Speech by Andrew Bailey, Chief Executive of the FCA, at Reuters Newsmaker event. -
Sanctions systems and controls: firms’ response to increased sanctions due to Russia’s invasion of Ukraine
We set out key findings from our assessments of sanctions systems and controls in financial services firms. We include examples of good practice and areas for improvement, to help firms deliver even greater compliance with sanctions. -
Building better bridges: a world-leading investment industry around outcomes customers need
Speech by Charles Randell, FCA chair, at the Investment Association on working to build a world-leading investment industry around customers’ outcomes -
The FCA and PRA propose measures to boost diversity and inclusion in financial services
In consultation papers published today, the financial regulators have set out proposals to boost diversity and inclusion to support healthy work cultures, reduce groupthink, and unlock talent. -
Market abuse requires a dynamic response to a changing risk profile
Where there is no alternative to the recognised codes available in the market, firms and Senior Managers who choose not to adhere to the recognised codes, should carefully consider how they ... It was once said that there is nothing new under the sun and -
Ex post Impact Evaluation Framework – Feedback Statement
This feedback statement summarises views received from our stakeholders after the publication of a discussion paper in April 2018, and our responses to them. -
Ensuring the UK remains open for business – requirements for foreign-owned firms
Speech by Clive Adamson, Director of Supervision, at the Association of Foreign Banks, London. This is the text of the speech as drafted, which may differ from the delivered version.