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Showing 91 to 100 of 147 search results for Non-Executive Directors and the Senior Managers Regime.
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FCA publishes discussion paper on transforming culture in financial services
The Financial Conduct Authority (FCA) has today published a discussion paper on transforming culture in financial services which presents views from academics and industry thought leaders. The paper is intended to provide a basis for stimulating -
Enhancing the UK’s capital markets – The FCA’s role and priorities
Speech by Sarah Pritchard, Executive Director, Markets, to City & Financial Global’s The Future of UK Financial Regulation Summit. -
Partly contested cases, the pipeline and AML investigations
FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime. -
Assessing the value of financial advice
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. -
Cryptoasset registration: information for applicants
The FCA's requirements and expectations of cryptoasset businesses for AML/CTF regime registration. -
The view from the regulator on Operational Resilience
Speech by Megan Butler, FCA Executive Director of Supervision: Investment, Wholesale and Specialist, delivered on 5 December 2019 at 13.30 -
Apply to become a pre-paid funeral plans firm
If you’re a new funeral plan provider or intermediary, find out when you need to apply to the FCA for authorisation and how to apply. -
A sustainable conduct environment
Speech by Clive Adamson, Director of Supervision, the FCA, at the Association of Professional Compliance Consultants’ annual conference. This is the text of the speech as drafted, which may differ from the delivered version. -
Has the industry improved ten years on?
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Banking Litigation & Regulation Forum 2018. -
FCA finds fund managers’ value assessments significantly improved, but still work to do
Following a review of fund managers’ value assessments, we found that while many firms have better practices in place, some still require improvement.