Tag: Conduct Rules
Heads on the Block – FCA Consults on Extension of Senior Managers Regime
Introduction On 26 June 2017, the FCA published its consultation paper, “Individual Accountability: Extending the Senior Managers & Certification Regime to all FCA firms”. The deadline for responses is 3 November 2017. In future, if they are to sleep easily, all Senior Managers will have to be able to prove that they have taken […]
FICC: no one reg to rule them all, but a Board?
On 10 June 2015, the Fair and Effective Markets Review (“FEMR”) published its Final Report on the Fixed Income, Currency and Commodities (“FICC”) markets. The Review was launched in June 2014 to cover the following areas: · Trading practices · Scope of regulation · Impact of recent and forthcoming regulation · Supervision As an interim […]