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Showing 411 to 420 of 697 search results for board effectiveness review.
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September 2014: Internal Audit report: A review of authorisation processes for dual-regulated firms [pdf]
This document was submitted to the Treasury Committee on 01 October 2015 and published by them today. This document is a redacted version of an Internal Audit Report submitted to the Audit Committee of the FCA Board. At the request of the Treasury -
PS23/11: Guidance on the trading venue perimeter
Consultation on new guidance on the regulatory perimeter for trading venues -
Information for ARM investors
There have been a number of developments recently that affect investors in bonds issued by ARM Asset Backed Securities SA (ARM), a securitisation vehicle based in Luxembourg. We take a look at some frequently asked questions. -
CP25/38: Enhancing fund liquidity risk management
Read the FCA's proposals to make sure authorised fund managers have the right tools to manage their funds’ liquidity and use them effectively. -
FCA and Practitioner Panel publish findings from 2018 joint survey
We and the Practitioner Panel have published a report from our 2018 joint survey of FCA-regulated firms. The survey gives views across the financial services sector of our performance as a regulator. -
FCA proposes to simplify rules to help encourage companies to list in the UK
The FCA proposes to reform and streamline the listing rules in the UK to help attract a wider range of companies, encourage competition and improve choice for investors. -
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. -
Information on the appointment of a Senior Legal Adviser
The FCA provides information on the appointment of Raj Parker as a part-time Senior Legal Adviser. -
The FCA and Practitioner Panel 2022/23 survey findings
The survey gathered feedback on how we are doing in regulating the financial services industry. -
Statement of Policy: listed companies and recapitalisation issuances during the coronavirus crisis
The FCA today announces a series of measures aimed at assisting companies to raise new share capital in response to the coronavirus crisis while retaining an appropriate degree of investor protection.