Search results
Showing 411 to 420 of 619 search results for under the Senior Managers Regime.
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Credit unions carrying out consumer credit activities
Find out how to notify the FCA or apply for permission to carry out Conditional Sale, Hire Purchase or other types of consumer credit activity. -
Vote Reporting Group
Find out how the group aims to improve shareholder vote reporting by UK asset managers. -
Conduct Risk Briefing
Speech by Robert Taylor, Head of Wealth Management & Private Banking, at the FCA. This is the text of the speech as drafted, which may differ from the delivered version. -
Submit a change in control notification
Find out how to prepare your notification and understand what happens after you submit it. -
Privacy notice
The FCA's privacy notice explains how and why it uses your personal data. -
Robo Advice: an FCA perspective
Speech by Bob Ferguson, Head of Department, Strategy & Competition Division, FCA -
Binary options scams
Find out how binary options work, how to avoid scams and what to do if you’re scammed. -
Forex trading scams
Find out how unauthorised forex trading and brokerage firms work, how to avoid scams and what to do if you’re scammed. -
Updating and improving the UK regime for asset management: our priorities
Speech by Ashley Alder, Chair, delivered at the Investment Association’s Annual Dinner. -
Required permissions for asset management firms
If you're applying to be authorised as a manager of investments, AIFs or UK UCITS, or to distribute funds, find out which permissions to apply for.