FCA fines Kevin Gorman
The FCA has fined Kevin Gorman £45,000 for failing to notify personal trades carried out in his capacity as a person discharging managerial responsibility (PDMR). Kevin Gorman, a former Managing […]
Coronavirus (COVID-19) Update: FCA Statement – SM&CR And COVID-19 – Expectations On FCA Solo-Regulated Firms
The FCA issued a statement on 3rd April 2020 setting out its expectations to help FCA solo-regulated firms apply the SM&CR. Separate requirements apply to dual regulated firms. The FCA […]