Further, the letter clarifies that sexual harassment and other forms of non-financial misconduct can amount to a breach of the SMCR Conduct Rules, particularly the requirement to act with integrity. The FCA has previously banned individuals where their conduct outside work demonstrates a lack of ho...
By way of example,a brokerage firm in Cyprus which is authorised and regulated by the Cyprus Securities and Exchange Commission can provide certain investment services to UK customers by notifying the Financial Conduct Authority in the UK of its intention to do so, without requiring the establishmen...
FCA(Financial Conduct Authority)即英国金融行为监管局,前身是FSA(金融服务局,Financial Services Authority)。FSA在1997年10月28日,由证券投资委员会(SIB)改制为金融服务局(FSA)。FSA直接向英国财政部门负责,除了监管银行业外,举凡保险业、金融产品顾问业、抵押贷款业、保险中介业与衍生性金融商品经纪商等皆纳入FSA的...
UK Financial Conduct Authority Signals Significant Changes to the FCA HandbookIain WrightWilliam Yonge
The Financial Conduct Authority (FCA) has three operational objectives in support of its strategic goal—to protect consumers, to protect and enhance the integrity of the U.K. financial system, and to promote healthy competition between financial services providers in the interests of consumers. ...
英国FCA全称Financial Conduct Authority,中文名为“英国金融行为监管局”。 英国是目前世界上金融服务最完善、最健全的国家,它通过FCA对所有在其境内注册的金融机构进行严格的监管。 目前市面上常见的FCA监管分为三大类:全牌照监管(Authorised)、EEA监管(EEA Authorised)、基础监管。
在2013年4月1日之前,在英国的金融服务管理都由英国金融服务管理局负责,即FinancialService Authority(FSA)。随着2007-2008年金融危机的爆发,英国政府决定重新调整金融监管体系,最终FSA被废止,其职能被两个新组织所取代,分别是FCA金融行为监管局与PRA审慎监管局。 审慎监管局主要是负责审慎监管和银行监管、信贷、保险等主...
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网络释义 1. 金融市场行为监管局 金融市场行为监管局(Financial Conduct Authority)负责人韦奕礼(Martin Wheatley)说:“听到英国特许证券与投资协会打算引 … www.ftchinese.com|基于75个网页 2. 英国金融市场行为监管局 根斯勒和英国金融市场行为监管局(Financial Conduct Authority)主管韦奕礼(Martin Wheatley)带领的、...
Financial Conduct Authority The Financial Conduct Authority, 25 The North Colonnade, Canary Wharf, London E14 5HS - The Financial Conduct Authority, 25 The North Colonnade, Canary Wharf, London E14 5HS 被引量: 1发表: 2016年 Financial Conduct Authority Financial Conduct Authority T Edmonds - The ...