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The FCA regulates financial firms providing services to consumers and maintains the integrity of the financial markets in the United Kingdom. [3] It focuses on the regulation of conduct by both retail and wholesale financial services firms. [4] Like its predecessor the FSA, the FCA is structured as a company limited by guarantee. [5]: 140
Financial Supervisory Authority (AMF) Algeria: Commission d'Organisation et de Surveillance des Opérations de Bourse (COSOB) Andorra: Andorran Financial Authority (AFA) Angola: Capital Markets Commission (CMC) ; Agência Angolana de Regulação e Supervisão de Seguros (ARSEG) Anguilla: Eastern Caribbean Central Bank ; Financial Services ...
Rathi worked for HM Treasury from 2009 to 2014, and was director of the financial services group, leading the UK's EU and international financial services interests. [ 5 ] [ 6 ] In May 2014, Rathi joined the London Stock Exchange (LSE) as chief of staff and director of international development, and in 2015, was appointed CEO, working under ...
The compliance oversight function is the function of acting in the capacity of a director or senior manager who is allocated by the Financial Services Authority the function of reporting to the governing body to ensure compliance with the rules set out in Conduct of Business, Collective Investment Schemes and Client Assets related operations. [10]
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It is an operationally independent body, set up under the Financial Services and Markets Act 2000 and funded by a levy on authorised financial services firms. The rules of the FSCS are made by the Financial Conduct Authority (FCA) and are contained in its handbook. [2] The FSCS board of directors is appointed by and ultimately accountable to ...
The Financial Conduct Authority Handbook is a set of rules required to be followed by banks, insurers, investment businesses and other financial services in the United Kingdom under the Financial Services and Markets Act 2000. It is administered by the Financial Conduct Authority in London.
Charles David Randell CBE (born June 1958) became chairman of Britain's Financial Conduct Authority and Chair of the Payments Systems Regulator in April 2018. Charles has been a key supporter of transforming the FCA into a data-led regulator, and speaks widely of the need to exploit new data and digital capabilities to help regulators become more efficient and effective.