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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 ...
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 The FCA works alongside the Prudential Regulation Authority and the Financial Policy Committee to set regulatory requirements for the financial sector ...
It received the Financial Conduct Authority’s permission to provide financial products and services in February 2016. [10] Banking services are provided by PrePay Solutions, which is regulated by the Financial Conduct Authority. [7] [11] Tide became one of the first digital-only finance platforms in the UK to provide accounts for businesses. [12]
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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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He then joined the Competition and Markets Authority as senior director for mergers, and later in designing and implementing the new UK State Aid regime. [2] [5] Mills moved to the Financial Conduct Authority in November 2018 as director of competition with responsibilities around competition in the financial industry and anti-competitive ...
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