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Showing 81 to 90 of 146 search results for Non-Executive Directors and the Senior Managers Regime.

  1. Review of host Authorised Fund Management firms

    Multi-firm reviews Published: 30/06/2021 Last modified: 05/08/2021
    We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed.

  2. The hallmarks of a future-fit workforce

    Speeches Published: 05/03/2024 Last modified: 05/03/2024
    Speech by Emily Shepperd, Chief Operating Officer and Executive Director of Authorisations at TheCityUK and Financial Services Skills Commission Future Skills Conference.

  3. FCA bans Angela Burns from acting as a non-executive director and fines her for her failure to declare conflicts of interest

    Press Releases Published: 14/12/2018 Last modified: 14/12/2018
    The Financial Conduct authority (FCA) has banned Angela Burns from acting as a non-executive director (NED) and fined her £20,000 for failing to act with integrity at two mutual societies.

  4. Trust and ethics – a regulator’s perspective

    Speeches Published: 16/10/2018 Last modified: 16/10/2018
    Speech by Andrew Bailey, Chief Executive of the FCA, delivered at the launch of the St Mary’s University School of Business and Society, London.

  5. Where next for investment and asset management regulation?

    Speeches Published: 28/09/2017 Last modified: 02/10/2017
    Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017.

  6. Investor relations in an increasingly regulated and international world

    Speeches Published: 19/06/2013 Last modified: 18/07/2013
    Speech by David Lawton, Director of Markets, the FCA, to the Investor Relations Society Annual Conference, on 18 June 2013.

  7. New priorities for banking reform

    Speeches Published: 17/06/2015 Last modified: 17/06/2015
    Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the Warwick Business School Westminster Forum. This is the text of the speech as drafted, which may differ from the delivered version.

  8. Open-ended funds investing in less liquid assets

    Speeches Published: 19/03/2020 Last modified: 19/03/2020
    Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy, to Investment Association members.

  9. Enhancing the UK’s capital markets – The FCA’s role and priorities

    Speeches Published: 08/02/2022 Last modified: 08/02/2022
    Speech by Sarah Pritchard, Executive Director, Markets, to City & Financial Global’s The Future of UK Financial Regulation Summit.

  10. Assessing the value of financial advice

    Speeches Published: 04/12/2017 Last modified: 11/04/2018
    Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to The Personal Investment Management and Financial Advice Association (PIMFA) in London.