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Showing 351 to 360 of 619 search results for under the Senior Managers Regime.
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FCA statement on share trading obligations
The FCA's response to ESMA’s statement on share trading obligations under MiFID II. -
The New Market Infrastructure
Keynote speech by David Lawton, Director of Markets, at the Economist Bellwether Conference. This is the text of the speech as drafted, which may differ from the delivered version. -
Leadership and conduct
Speech by Martin Wheatley, Chief Executive, the FCA, at City Week 2014: International Financial Services in the Post-Reform World: Opportunities and Challenges. This is the text of the speech as drafted, which may differ from the delivered version. -
Statement on MiFID II inducements and research
FCA welcomes the US Securities and Exchange Commission’s extension of no-action relief relating to MiFID II inducements and research provisions -
FCA confirms proposals in the event of a no-deal Brexit
The Financial Conduct Authority (FCA) has published near-final rules and guidance that will apply in the event the UK leaves the EU without an implementation period. As most of the changes proposed will be made under powers given to the FCA under -
Applying conduct rules to all non-executive directors in the banking and insurance sectors: PS17/8
This Policy Statement (PS) introduces final rules to extend our Code of Conduct sourcebook (COCON) to standard non-executive directors (NEDs) in banks, building societies, credit unions and dual-regulated investment firms (‘banks’) and insurance -
Business Plan 2021/22
Our Business Plan 2021/22 explains how we see our future role and priorities, how we intend to deliver them and how we will measure our performance. -
Primary Market Bulletin 32
Welcome to the 32nd edition of the Primary Market Bulletin (PMB) -
Experienced professionals
Find out what we look for in candidates, learn about the wide range of benefits available to our employees and access resources to support your application. -
FCA Prudential Supervision Forum
We are responsible for the prudential regulation of over 24,000 firms in the UK, covering a wide range of sectors – asset managers, investment firms, platforms and a range of infrastructure ... providers – under various different prudential regimes.