The proposed changes involve updating our existing lists in line with Article 117 of the Capital Requirements Regulation 2013 (as amended).
Mr Gorman carried out the trades in his capacity as a person discharging managerial responsibility (PDMR) at Braemar. Under the Market Abuse Regulations (MAR), persons who are PDMRs and those closely associated with them are required to notify the FCA and the issuer of every transaction conducted on their own account above a certain threshold […]
Almost all firms and individuals offering, promoting or selling financial services or products in the UK have to be authorised by us. However, some firms act without our authorisation and some knowingly run investment scams. This firm is not authorised by us and is targeting people in the UK. Based upon information we hold, we […]
CP17/41: Individual accountability: Transitioning insurers and individuals to the Senior Managers & Certification Regime
CP17/41: Individual accountability (PDF) The Senior Managers and Certification Regime aims to make individuals more accountable for their conduct and competence. Earlier this year, we consulted on our proposed approach to extending the regime to insurers and individuals. This consultation paper sets out how we propose to move firms and their senior staff over to the […]