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Showing 121 to 130 of 527 search results for Senior Managers Regime applications.
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FCA and PRA jointly fine Mr James Staley £642,430 and announce special requirements regarding whistleblowing systems and controls at Barclays
The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have together fined Mr James Staley, Chief Executive of Barclays Group (Barclays), a total of £642,430. Mr Staley failed to act with due skill, care and diligence -
How to flex your organisation's power through culture and conduct
Speech by Emily Shepperd, Chief Operating Officer and Executive Director of Authorisations at City & Financial's Culture and Conduct Forum. -
FS19/3: Recognition of codes: feedback on QCP 23 18/39
We summarise responses received to QCP 18/39 on the recognition of industry codes of conduct and outline our next steps. -
Cultural evolution: how culture must change to meet expectations
Speech by Emily Shepperd, Chief Operating Officer and Executive Director of Authorisations, delivered online at the Westminster Business Forum. -
Information on the gender of CF10/11s and SMF16/17s holders - August 2020
SMF16 and SMF 17 figures for 2019 reflect those functions held at dual-regulated firms that were subject to the Senior Managers and Certification Regime at the time. -
The rationale for the FCA’s Mission and the context which the FCA operates in
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at City Banquet, Mansion House. -
Transforming to a forward-looking, proactive regulator
Speech by our CEO, Nikhil Rathi, delivered at the FCA’s Our Role and Business Plan webinar. -
Prudential Regulation Authority and Financial Conduct Authority consult on proposals to improve responsibility and accountability in the banking sector
The Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) have today published two joint consultation papers aimed at improving individual responsibility and accountability in the banking sector. -
Leaning in on making consumer tech a force for good
Speech by Nikhil Rathi delivered at the Imperial College London Business School. -
Statement on the UK Coronavirus Business Interruption Loan Scheme (CBILS) and the new Bounce Back Loan Scheme (BBLS)
The Treasury has today announced amendments to the UK’s CBILS scheme to support small businesses. This statement sets out the FCA’s approach to its regulation of firms in relation to the Government’s CBILS and BBL schemes.