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Showing 41 to 50 of 697 search results for board effectiveness review.
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Liquidity Management multi-firm review
Informing the asset management industry of the conclusions and recommendations from our multi-firm review on fund liquidity management. -
Market Watch 81
Newsletter on market conduct and transaction reporting issues, November 2024 -
Asset management market study
We have published the final findings of our asset management market study. As part of this, we set out a package of remedies to address the concerns identified. -
FCA introduces new rules on whistleblowing
blow the whistle’) and that they appoint a senior person to take responsibility for the effectiveness of these arrangements. ... tell UK-based employees about the FCA and PRA whistleblowing services. present a report on whistleblowing to the board at -
Culture in financial institutions: it’s everywhere and nowhere
Speech by Andrew Bailey, Chief Executive of the FCA, at the HKMA Annual Conference for Independent Non-Executive Directors. -
Connaught Fund Independent Reviewer announces update on delivery of his report
Raj Parker, the Independent Reviewer into the FSA/FCA approach to the Connaught Income Fund Series 1 (the Fund), has announced that he expects that his draft report will be delivered in early May 2020. -
Joint statement from UK Financial Regulation Authorities on London Metal Exchange and LME Clear
The FCA intends to review the LME’s approach to managing the suspension and resumption of the market in nickel -
Four building blocks of efficient capital markets
Speech by David Lawton, Director of Markets, FSA at the Practising Law Institute Conference -
Primary Market Bulletin 55
This edition of the FCA’s Primary Market Bulletin covers changes to guidance for the listing regime (UKLR) and sponsors, and the finalised rules updating Handbook references to the UK Corporate Governance Code 2024. -
Practical implications of US law on EU practice
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe.