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Showing 1 to 11 of 219 search results for Enforcement investigations and the Senior Managers Regime.

1. Should you invest?

   Get your immediate finances in order before you invest. Pay off any short-term debt, have an emergency cash fund and consider investing more in your pension.

2. Enforcement investigations and the Senior Managers Regime information - October 2020

   FOI Release Date of Release: 05/10/2020
   FCA provides information on Enforcement investigations and the Senior Managers Regime.

3. Information on number of enforcement investigations opened against individuals under the Senior Managers & Certification Regime - November 2020

   FOI Release Date of Release: 18/11/2020
   FCA provides information on number of enforcement investigations opened against individuals under the Senior Managers & Certification Regime.

4. Information on investigations opened under the Senior Managers' Regime - June 2022

   FOI Release Date of Release: 22/06/2022
   The FCA provides information on investigations opened under the Senior Managers' Regime.

5. Information on enforcement investigations into senior managers - May 2022

   FOI Release Date of Release: 27/05/2022
   The FCA answers questions multiple questions on enforcement investigations into senior managers.

6. Data on enforcement investigations, including into senior managers - June 2022

   FOI Release Date of Release: 06/06/2022
   The FCA answers mutiple questions regarding enforcement investigations, including into Senior Managers.

7. Information on enforcement investigations into Senior Managers - May 2022

   FOI Release Date of Release: 26/05/2022
   The FCA responds to multiple questions on enforcement investigations into Senior Managers.

8. Information on enforcement investigations opened against individuals (SMR) - May 2022

   FOI Release Date of Release: 11/05/2022
   The FCA provides data on enforcement investigations opened against individuals (SMR).

9. PRA and FCA conclude investigations into senior managers in relation to the 2008 failure of HBOS plc

   Press Releases Published: 26/08/2022 Last modified: 26/08/2022
   PRA and FCA joint investigations into certain former senior managers at HBOS plc have now concluded with a decision by each of the Authorities’ independent decision-makers to take no further action.

10. Practical implications of US law on EU practice

    Speeches Published: 19/01/2017 Last modified: 20/01/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe.

11. Tackling the hard questions

    Speeches Published: 28/04/2016 Last modified: 18/01/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Thomson Reuters Annual Compliance & Risk Summit on 26 April 2016, in London. This is the text of the speech as drafted, which may differ from the