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Showing 341 to 350 of 527 search results for Senior Managers Regime applications.

  1. Overview of the FCA prudential approach

    Speeches Published: 21/05/2015 Last modified: 21/05/2015
    Speech by Nausicaa Delfas, Director of Specialist Supervision at the FCA, delivered at the first FCA Prudential Supervision Forum. This is the text of the speech as drafted, which may differ from the delivered version.

  2. Primary Market Bulletin 32

    Newsletters Published: 03/12/2020 Last modified: 03/12/2020
    Welcome to the 32nd edition of the Primary Market Bulletin (PMB)

  3. FCA sets out its priorities for 2019/20

    Press Releases Published: 17/04/2019 Last modified: 13/03/2024
    The FCA published our Business Plan for 2019/20, outlining key priorities for the year.

  4. Trust and ethics – a regulator’s perspective

    Speeches Published: 16/10/2018 Last modified: 16/10/2018
    Speech by Andrew Bailey, Chief Executive of the FCA, delivered at the launch of the St Mary’s University School of Business and Society, London.

  5. Financial Stability Board publishes Peer Review of UK remuneration regime

    Statements Published: 14/04/2021 Last modified: 14/04/2021
    A joint statement with the PRA welcoming the Financial Stability Board’s (FSB) Peer Review of the UK’s compensation regime.

  6. FCA outcomes and metrics

    Data Published: 02/04/2022 Last modified: 01/07/2024
    The FCA is committed to being clear about how it is accountable for its progress. On this page the FCA sets out its outcomes and the metrics it will use to measure them.

  7. Vote Reporting Group

    Firms Published: 24/02/2023 Last modified: 26/04/2024
    Find out how the group aims to improve shareholder vote reporting by UK asset managers.

  8. CP15/31: Strengthening accountability in banking and insurance: regulatory references

    Consultation papers Published: 06/10/2015 Last modified: 08/12/2015
    Senior management functions under the Senior Managers Regime (SMR). Significant harm functions under the Certification Regime (CR). ... PRA senior insurance management functions under the Senior Insurance Managers Regime (SIMR).

  9. Applying conduct rules to all non-executive directors in the banking and insurance sectors: PS17/8

    Policy statements Published: 28/09/2016 Last modified: 03/05/2017
    This Policy Statement (PS) introduces final rules to extend our Code of Conduct sourcebook (COCON) to standard non-executive directors (NEDs) in banks, building societies, credit unions and dual-regulated investment firms (‘banks’) and insurance

  10. TR14/1 – Transition Management Review

    Thematic reviews Published: 10/02/2014 Last modified: 10/02/2014
    Our review looked at how firms move investment portfolios between different managers and markets for asset owners (such as pension funds). ... We expect firms:. to be vigilant in monitoring the application of controls to meet their obligations.
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