Acknowledging that high-quality, easily available investment research supports deep capital markets, listed companies, and economic growth, the UK Financial Conduct Authority (FCA) recently issued a consultation paper...more
The UK Financial Conduct Authority and Prudential Regulation Authority have published statements setting out their expectations of dual-regulated and solo-regulated firms on their senior managers and certification regime...more
UK regulators extend the new regulatory framework that governs individual accountability to banking and insurance.
The UK Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) published their...more
With a mandate from Parliament, the UK regulators are working on a new regime governing individuals in banks.
The UK Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) published a joint...more
12/16/2014
/ Banks ,
Credit Unions ,
Directors ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Managers ,
Prudential Regulation Authority (PRA) ,
Senior Insurance Managers ,
Senior Managers ,
Senior Managers Insurers Regime (SMIR) ,
UK
Long-heralded reform of the UK financial services regulation architecture impacts the listed company regime.
On 1 April, a new financial regulation architecture became operative in the UK through the Financial...more
The Financial Conduct Authority and the Prudential Regulation Authority begin work as the two new regulators in the wake of the long-heralded abolition of the Financial Services Authority....more
Handbooks for Financial Conduct Authority and Prudential Regulation Authority will replace FSA Handbook on 1 April.
On 8 March, the UK Financial Services Authority (FSA) published draft handbooksfor the two new...more