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Showing 531 to 540 of 619 search results for under the Senior Managers Regime.

  1. Lamprell plc fined £2,428,300 for systems and controls failings

    Press Releases Published: 18/03/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has fined Lamprell plc (Lamprell) £2,428,300 for significant failings in its systems and controls resulting in Listing Rules and related breaches. Lamprell could not adequately monitor its financial

  2. Prudential Regulation Authority and Financial Conduct Authority consult on proposals to improve responsibility and accountability in the banking sector

    Press Releases Published: 30/07/2014 Last modified: 04/11/2019
    The Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) have today published two joint consultation papers aimed at improving individual responsibility and accountability in the banking sector.

  3. FCA cancels payday lender’s interim permission, bans director and refuses application to conduct regulated business

    Press Releases Published: 13/10/2016 Last modified: 13/10/2016
    The Financial Conduct Authority (FCA) has banned Andrew Barry Hart, the sole director, controller and ultimate owner of Wage Payment and Payday Loans Limited (WPPL), from performing any role in regulated financial services. The FCA has also

  4. Information on Consumer Network and roundtable events - November 2021

    FOI Release Date of Release: 12/11/2021
    The FCA responds to multiple questions on the FCA's Consumer Network.

  5. PS15/24: Whistleblowing in deposit-takers, PRA-designated investment firms and insurers

    Policy statements Published: 06/10/2015 Last modified: 26/05/2016
    they appoint a senior person to take responsibility for the effectiveness of these arrangements. ... The requirement to assign responsibilities to a whistleblowers’ champion will take effect on the same date as the rest of the Senior Managers Regime, 7

  6. FCA confirms new rules to improve oversight of Appointed Representatives

    Press Releases Published: 03/08/2022 Last modified: 03/08/2022
    Our new rules to make authorised financial firms more responsible for their appointed representatives (ARs). 

  7. Information regarding the Temporary Permissions Regime (TPR) and Temporary Marketing Permissions Regime (TMPR) - March 2020

    FOI Release Date of Release: 05/03/2020
    The FCA provides information regarding the Temporary Permissions Regime (TPR) and Temporary Marketing Permissions Regime (TMPR).

  8. FCA publishes data on progress toward diversity targets and gender pay gap

    Press Releases Published: 30/10/2017 Last modified: 30/10/2017
    The Financial Conduct Authority (FCA) has today published a package of information on the progress the organisation is making towards achieving its diversity targets and details of its gender pay gap.

  9. PS18/8: Implementing asset management market study remedies and changes to our Handbook – feedback to CP17/18 and final rules

    Policy statements Published: 28/06/2017 Last modified: 05/04/2018
    This policy statement sets out our final rules and guidance to address some of the findings of the asset management market study, focused on the duties that authorised fund managers have as the agents of investors in their funds.

  10. Consumer investments data review April 2020 - March 2021

    Data Published: 15/09/2021 Last modified: 13/06/2023
    A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2020 and 31 March 2021.
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