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Showing 321 to 330 of 619 search results for under the Senior Managers Regime.

321. UK SFTR reporting obligation

     Markets Published: 11/03/2020 Last modified: 23/10/2023
     We explain the UK Securities Financing Transactions Regulation (SFTR) reporting requirements and what they mean for your firm.

322. Impact Assessment: Extending SM&CR to solo-regulated firms [pdf]

     Impact assessments Published: 16/01/2020
     This impact assessment Extending the Senior Managers & Certification Regime to solo-regulated firms relates to CP17/25, CP17/40, PS18/14 and PS19/20

323. Reporting obligation

     Markets policy Published: 22/05/2016 Last modified: 12/07/2024
     Under UK European Markets Infrastructure Regulation (UK EMIR) requirements, all counterparties must report any derivative contract concluded, modified or terminated. Find out more about submitting your firm's obligations.

324. Dealing commission

     Speeches Published: 10/07/2014 Last modified: 10/07/2014
     Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA conference on dealing commission in London. This is the text of the speech as drafted, which may differ from the delivered version.

325. Knowledge Base

     Markets Primary markets Published: 02/05/2016 Last modified: 29/04/2024
     The Knowledge Base is our source of technical guidance on our Listing Rules, Prospectus Regulation Rules and Disclosure and Transparency Rules.

326. Side pockets

     Consumers Your rights Published: 08/09/2022 Last modified: 20/03/2023
     Side pockets could affect anyone who invests in funds that are exposed to Russian assets. Find out more about how side pockets work and what investors can expect.

327. Depositaries

     Focus areas Published: 08/06/2016 Last modified: 01/02/2023
     How to apply to act as a depositary of an authorised or unauthorised Alternative Investment Fund.

328. Policy development update

     News stories Published: 02/07/2020 Last modified: 10/09/2021
     The policy development update provides some information on our recent and upcoming publications but should not be regarded as comprehensive.

329. Direction: no s.272 applications [pdf]

     Handbook Published: 31/12/2020
     Direction stating that fund managers should not submit an application for the full recognition of a fund in the UK’s temporary marketing permission regime under FSMA s.272 until told by the FCA to do so.

330. The FCA consults on its approach ahead of the UK’s exit from the EU

     Press Releases Published: 10/10/2018 Last modified: 10/10/2018
     The Financial Conduct Authority (FCA) today published two consultation papers, setting out its proposals in the event the UK leaves the European Union on 29 March 2019 without an implementation period.  It also set out its approach to the