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Showing 451 to 460 of 619 search results for under the Senior Managers Regime.
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Firms continuing operating in the UK under the Temporary Permissions Regime - February 2021
The FCA provides information about firms that notified the FCA they wished to continue operating in the UK at the end of the Brexit transitional period. -
FCA fines Reckitt Benckiser £539,800 for listing rule failures
The Model Code is designed to ensure that senior executives (persons discharging managerial responsibilities) do not abuse, and do not place themselves under the suspicion of abusing, inside information. ... so. The FCA has published information for -
Investor protection under MiFID II
Speech by David Geale, Director of Policy, FCA, delivered at the FCA MiFID II Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Review of host Authorised Fund Management firms
We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed. -
Considerations for firms after the transition period
Find out how Temporary Transitional Power (TTP) may affect you. It will depend on several factors, including the nature of your business and where your customers are located. -
FCA proposes new rules on dealing commission for investment managers
The Financial Conduct Authority (FCA) has today proposed improvements to the rules and new guidance over investment managers’ use of client commissions. These changes will ensure that charges paid by consumers for executing trades and related -
Why diversity and inclusion are regulatory issues
Speech by our CEO, Nikhil Rathi, at the launch of the HM Treasury Women in Finance Charter Annual Review. -
Nikhil Rathi – APM opening remarks 2022
Opening remarks by Nikhil Rathi, Chief Executive of the FCA delivered at the FCA's 2022 Annual Public Meeting. -
Brexit: information for participants in the wholesale markets operating in the UK (including wholesale banks, wholesale markets and asset managers)
Passporting between the UK and EEA states has now ended. Find out more about the other ways in which firms can access the EEA. -
Carbon credit trading scams
Find out how carbon credit trading works, how to avoid scams and what to do if you’re scammed.