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Showing 201 to 210 of 263 search results for Consequential Changes to the Senior Managers Regime.
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FCA publishes Annual Report and Accounts 2019/20
The Financial Conduct Authority (FCA) publicly censures Conor Foley, the former Chief Executive Officer of Worldspreads, for market abuse and banning him from performing any roles linked to regulated activity. -
Improving the Appointed Representatives regime through greater use of data
This publication includes data from the FCA's 2021 and 2022 data requests sent to principal firms and authorisation information collected from firms. It also outlines how the FCA is improving the Appointed Representatives’ Regime (AR) regime and -
A financial system to support the recovery
Speech by Charles Randell, Chair of the FCA, to a virtual roundtable of bank chairs hosted by UK Finance. -
FCA’s national and international response to coronavirus (Covid-19) and Brexit
Speech delivered by Nausicaa Delfas, Executive Director of International, at Deloitte Annual Conduct Risk Conference (webinar). -
PS15/30: Strengthening accountability in banking: UK branches of foreign banks (final rules)
The Feedback Statement included near-final rules for the Senior Managers Regime, Certification Regime and Conduct Rules for incoming branches. ... This Policy Statement sets out what these are and the reasons for the changes. -
Annual Report 2015/16 and Competition Report 2013-16
The Annual Report provides an overview of our work:. implementing the Senior Managers and Certification Regime, which seeks to deliver a step change in individual accountability. ... taking tough action on past transgressions, issuing penalties totalling -
Regulation - supporting vibrant markets
Speech by Martin Wheatley, CEO of the Financial Conduct Authority, delivered at the Future of Financial Services event in London. This is the text of the speech as drafted, which may differ from the delivered version. -
CP15/15: Changes to the Approved Persons Regime for insurers not subject to Solvency II
We are consulting on amending our regime for regulating key individuals and governance arrangements in insurers. -
The UK listing regime - developments since the UK Listings Review and next steps for reform
Speech by Clare Cole, Director of Market Oversight, at the Westminster Business Forum. -
Service standards 2020/21
The FCA measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2020/21.