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Showing 391 to 400 of 527 search results for Senior Managers Regime applications.
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Creating and sustaining cultures of compliance: insights from psychology and beyond
This involves increasing the expected costs of non-compliance. The Senior Managers Regime, for example, aims to make the risks of wrongdoing more tangible by highlighting the individual’s personal area ... Another example relates to the Financial -
Whistleblowing in UK branches of foreign banks: PS17/7
This Policy Statement introduces our final rules on whistleblowing requirements for UK branches of foreign banks. It does not apply to UK branches of overseas insurers. -
Regulation in a changing world
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the City of London/Cicero event on Future of Regulation. -
Why diversity and inclusion are regulatory issues
Speech by our CEO, Nikhil Rathi, at the launch of the HM Treasury Women in Finance Charter Annual Review. -
Retail banking: product governance review
The latest stage of our supervision work looked at product governance in small and medium-sized retail banks. It examined how well banks consider customers’ needs when they design and sell products and provide after-sales services. We found common -
Statement on the further investigative steps in relation to RBS GRG
The Financial Conduct Authority (FCA) has today provided an update on its investigation in to Royal Bank of Scotland’s (RBS) treatment of small and medium-sized enterprise (SME) customers transferred to its Global Restructuring Group (GRG). -
Land banking investment scams
Find out how land banking investments work, how to avoid scams and what to do if you’re scammed. -
IFPR implementation observations: quantifying threshold requirements and managing financial resources
Firms should consider these and how they can strengthen their processes. -
IFPR and eligibility for enhanced SM&CR status as a Significant SYSC firm
The FCA clarify the definition of ’Significant SYSC firm’ and eligibility for Enhanced Status under the SM&CR regime -
Regulating the UK as a global financial centre
Speech delivered by Nausicaa Delfas, Executive Director of International at City & Financial Global’s Virtual Summit.