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Showing 111 to 120 of 147 search results for Non-Executive Directors and the Senior Managers Regime.

  1. 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.

  2. FCA and PRA jointly fine Mr James Staley £642,430 and announce special requirements regarding whistleblowing systems and controls at Barclays

    Press Releases Published: 11/05/2018 Last modified: 11/05/2018
    The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have together fined Mr James Staley, Chief Executive of Barclays Group (Barclays), a total of £642,430. Mr Staley failed to act with due skill, care and diligence

  3. Regulation in a changing world

    Speeches Published: 21/10/2019 Last modified: 21/10/2019
    Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the City of London/Cicero event on Future of Regulation.

  4. Keeping up with the credit sector: the FCA’s view on the market today

    Speeches Published: 30/03/2017 Last modified: 30/03/2017
    Speech by Jonathan Davidson, Director of Supervision – retail and authorisations at the FCA, at Credit Summit in London.

  5. Investor engagement in a changing regulatory landscape

    Speeches Published: 13/07/2015 Last modified: 14/07/2015
    Taking a brief step back, I know that one area that you will be familiar with is corporate access - payments by investment managers to brokers to arrange access to senior management ... investor and corporate issuer representatives.We also undertook

  6. Financial conduct regulation in a restless world

    Speeches Published: 08/05/2019 Last modified: 08/05/2019
    Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Deloitte conduct risk roadshow.

  7. Insurance firms failing to consider value of the products and services provided to consumers

    Press Releases Published: 10/04/2019 Last modified: 10/04/2019
    The Financial Conduct Authority (FCA) is warning General Insurance (GI) firms about manufacturing, sales and distribution approaches that can lead to customers purchasing inappropriate products, paying excessive prices or receiving poor service.

  8. FCA sets out next steps to improve competition in the UK’s asset management industry

    Press Releases Published: 05/04/2018 Last modified: 11/04/2024
    The FCA has published the latest step in its response to the concerns identified through its asset management market study. This is part of a package of remedies to ensure fund managers compete on the value they deliver, and act in the interests of

  9. Authorised fund managers’ assessments of fund value 2023

    Multi-firm reviews Published: 10/08/2023 Last modified: 10/08/2023
    Feedback following the second MFR of Authorised Fund Managers compliance with our Assessment of Value rules.

  10. Improving the Appointed Representatives regime through greater use of data

    Data Published: 28/09/2023 Last modified: 03/10/2023
    This publication includes data from the FCA's 2021 and 2022 data requests sent to principal firms and authorisation information collected from firms. It also outlines how the FCA is improving the Appointed Representatives’ Regime (AR) regime and