Search results
Showing 481 to 490 of 619 search results for under the Senior Managers Regime.
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Temporary permissions regime (TPR) data: solo-regulated firms
This page provides a data summary of the firms under the temporary permissions regime (TPR). -
Regulation in a changing world
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the City of London/Cicero event on Future of Regulation. -
Investor relations in an increasingly regulated and international world
Speech by David Lawton, Director of Markets, the FCA, to the Investor Relations Society Annual Conference, on 18 June 2013. -
Loan-based crowdfunding platforms: summary of our rules
The following rules may be relevant for firms operating in the loan-based crowdfunding (including peer-to-peer and peer-to-business) market when considering their investment activities. -
FCA consults on further climate-related disclosure rules
The FCA has published new proposals on climate-related disclosure rules for listed companies and certain regulated firms. -
Has the industry improved ten years on?
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Banking Litigation & Regulation Forum 2018. -
Cryptoasset AML / CTF regime: feedback on good and poor quality applications
Feedback on good and poor quality applications made to the FCA under money laundering regulations. -
Primary Market Bulletin 42
In this edition we cover areas including climate related disclosures, the National Security and Investment Act, unlawful disclosure by Sir Christopher Gent and rules and guidance for cash shells and SPACS on reverse takeovers. -
CP23/28: Updating the regime for Money Market Funds
This consultation sets out our proposals to enhance the resilience of Money Market Funds (MMFs) based in the UK. It has been developed in close consultation with the Treasury and the Bank of England. -
Recovery plans – initial observations
For example, firms did not always provide sufficient evidence to justify the expected proceeds from a sale under stressed market conditions. ... Plans that include an appropriate communication strategy are likely to be more effective, particularly under