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Showing 581 to 590 of 619 search results for under the Senior Managers Regime.
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Firms continue to fail to meet our expectations on their use of dealing commission
We summarise our findings from a review that analysed dealing commission expenditure across 31 investment managers (covering asset managers, wealth managers and host-authorised corporate director providers) between 2012 and 2015. -
Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings
manipulation, including one manager who was also involved in the Repo Rate misconduct. ... Benchmark reference rates such as LIBOR also affect payments made under a wide range of other contracts including loans and mortgages. -
Market Force and the Chartered Institute’s Nicholas Barbon Lectures
Speech by Andrew Bailey, Managing Director, Prudential Business Unit at the Chartered Institute’s Nicholas Barbon Lectures, London -
FCA fines Barclays £72 million for poor handling of financial crime risks
The FCA specifically found that Barclays:. senior management at the relevant time failed to oversee adequately Barclays’ handling of the financial crime risks associated with the Business Relationship and that it ... was unclear which senior managers -
Bellwethers of the economy: the need to engage with corporate treasurers to shape our markets
Speech by Nikhil Rathi, FCA chief executive, delivered at the Association of Corporate Treasurers Annual Conference 2024. -
Agreements with overseas regulators
Multilateral and bilateral Memoranda of Understanding (MoUs) and other agreements signed by the FCA. -
FCA publishes Annual Report 2015/16 and report of its competition activities since 2013
Implementing the Senior Managers and Certification Regime, which seeks to deliver a step change in individual accountability;. ... After taking over regulation of consumer credit in April 2014, successfully integrating over 25,000 firms into our -
FCA review finds weaknesses in some ‘host’ Authorised Fund Management firms’ governance and operations
The Financial Conduct Authority (FCA) has called for so-called ‘host’ Authorised Fund Managers (AFMs) to improve their standards following a review of firms published today. -
FCA responds to independent reviews into its regulation of London Capital & Finance and Connaught
The FCA has responded to the independent investigations of its supervision of London Capital & Finance plc (LCF) and Connaught Income Fund Series 1 and connected companies (Connaught) -
Understanding approaches to D&I in financial services
The FCA observed how financial services firms are designing and embedding diversity and inclusion strategies. The observations give an overview of initiatives to improve diversity and inclusion, which industry leaders can consider in reviewing their