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Showing 381 to 390 of 619 search results for under the Senior Managers Regime.
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Wholesale Conduct Risk
The Senior Managers Regime, final rules for which were published last week, should reintroduce and reinforce professional accountability to the industry. ... One thing that the introduction of the Senior Managers Regime will do is hard-wire -
Report fee tariff data
Read FCA guidance on how to fill in your online tariff data forms and provide information about your firm that will help calculate annual fees for the next financial year. -
Information for firms during the Brexit implementation period
On 31 January 2020 at 11pm the UK will leave the European Union (EU) and enter an implementation period, which is due to last until 31 December 2020. -
Apply to become a consumer investments firm
Find out how to apply to the FCA for authorisation if you're a consumer investments firm, such as a financial adviser or investment platform. -
Market Abuse Regulation
The Market Abuse Regulation (MAR) aims to increase market integrity and investor protection. Find out more about the application and structure of the MAR, market abuse offences and exemptions. -
EEA regulation 57 notification to market form [docx]
National Private Placement Regime – Marketing Notification Form: EEA Alternative Investment Fund Managers (AIFM’s) Marketing Funds under Regulation 57. -
Defined benefit pension transfers
Read about the FCA's work in defined benefit (DB) transfers to date and the continued supervision in this area. -
Agreements with overseas regulators
See the Memoranda of Understanding (MoUs) and other agreements we have with overseas regulators. -
FCA publishes final report into asset management sector
The Financial Conduct Authority (FCA) has today published the final findings of its asset management market study and announced the package of remedies it will take forward to address the concerns identified in its interim report into the sector. -
Brexit: further proposals to prepare our regulatory regime
Today we have published two further consultations to prepare for the UK’s exit from the EU. We have published proposals to introduce the financial services contracts regime (FSCR) as well as proposed fees for regulating securitisation repositories.