对于此类部门和人员,机构需定期检查确保相关人员适合担任其岗位并进行认证(至少每年一次)。 3.行为规则(Conduct Rules)。机构需遵守两方面的行为规则,一是适用于几乎所有员工的“个人行为准则”;二是适用于高管的“高管行为准则”。具体如下。 高管制度行为规则 第一层级——个人行为准则 1 必须诚信行事 2 必须以适...
Dropped use of ‘sustainability’ from all its funds Cristian Angeloni 03 December 2024 • 1 min read Green Schroder and Victory Hill investment trusts become first trusts to publicly adopt SDR label Adopted the ‘Sustainability Impact’ label under the FCA rules ...
The article reports that disclosures of rules by the Financial Conduct Authority (FCA) in Great Britain damages consumers' decision making ability. It mentions that firms in Europe are forced to increase amount of information. It states that FCA gives warning for its standardised disclosure regimes ...
英国金融服务管理局(FSA)2013年起被两个新的监管机构所替代,他们分别是金融行为监管局(Financial Conduct Authority, FCA)和审慎监管局(Prudential Regulation Authority, PRA)。其中对经纪商的监管权将全部由FSA移交至FCA。 FCA目前是全世界监管最完善、法律执行力最强的金融监管机构,成为各国金融监管机构学习的典范,其...
Smarsh, Inc. assumes no liability for the accuracy or completeness of this information. Please consult with an attorney for specific information on specific rules and regulations and how they apply to your business. Back to Regulations & LawsCONNECT...
On enforcement, the FCAstatesthat it aims “to achieve fair and just outcomes in response to misconduct and to ensure our rules and requirements are obeyed.” The FCA’s enforcement penalties for non-compliance can be severe—ranging from multi-billion-dollar fines to having business licenses rev...
Smarsh, Inc. assumes no liability for the accuracy or completeness of this information. Please consult with an attorney for specific information on specific rules and regulations and how they apply to your business. Back to Regulations & LawsCONNECT...
The Financial Conduct Authority (FCA) is an independent public body that works to make sure financial service companies operate honestly, and consumers aren't taken advantage of. Previously known as the Financial Services Authority, the FCA ensures that authorised businesses follow rules and standards...
Rules requiring distributors to communicate the labels and disclosures of the funds they distribute to their clients, and to ensure that their own communications or financial promotions are consistent with the labels and disclosures of the funds....
On July 11, 2024, the UK’s Financial Conduct Authority (FCA) published its final UK Listing Rules, which come into force on July 29, 2024. The new rules represent a major overhaul of the UK’s listing regime, seeking to align it with international market standards. The reforms aim to ...