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Showing 491 to 500 of 619 search results for under the Senior Managers Regime.
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Andrew Bailey speech at the Annual Public Meeting 2019
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at our 2019 Annual Public Meeting. -
Financial promotions quarterly data 2023 Q4
We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 October 2023 and 31 December 2023. -
Open access regime for the trading and clearing of exchange-traded derivatives
From 4 July 2020, trading venues and central counterparties (CCPs) offering the trading and clearing of exchange-traded derivatives will be subject to MiFIR’s open access regime. -
General insurance pricing attestation multi-firm review
Assessing how firms satisfied themselves that they do not systematically discriminate against motor and home insurance customers based on the number of years they have held their policy, including any renewal (tenure). -
Liquidity Management multi-firm review
Informing the asset management industry of the conclusions and recommendations from our multi-firm review on fund liquidity management. -
Financial promotions quarterly data 2023 Q1
We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 January 2023 to 31 March 2023 . -
Wealth Management Association (formerly APCIMS) speech
Speech by FCA Chairman, John Griffith-Jones, delivered to the Wealth Management Association in London. This is the text of the speech as drafted, which may differ from the delivered version. -
Data on whistleblowing disclosures received by the FCA - December 2021
The FCA responds to request for data regarding whistleblowing reports to the FCA. -
From intellectual certainty to debate
We are, as former Vanguard CEO John Bogle said, a long way from the ‘go-go years of the late 60s, when hot managers were treated like Hollywood stars’. ... The equity transparency regime will, in turn, be extended from shares, to other equity-like -
Park First Limited – information for investors
Four companies in the Park First group entered administration on 4 July 2019. Find out what this means for investors.