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Showing 401 to 410 of 527 search results for Senior Managers Regime applications.
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Investor engagement in a changing regulatory landscape
Taking a brief step back, I know that one area that you will be familiar with is corporate access - payments by investment managers to brokers to arrange access to senior management ... investor and corporate issuer representatives.We also undertook -
FCA sets out latest expectations for firms on Brexit
The FCA and regulated firms have been taking steps to prepare in the event the UK leaves the EU on 31 October 2019 without a deal. -
Investor protection under MiFID II
Speech by David Geale, Director of Policy, FCA, delivered at the FCA MiFID II Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
PS15/29: Strengthening accountability in banking: Final amendments to the Decision Procedure and Penalties Manual and the Enforcement Guide
new accountability regime (including the Senior Managers Regime and the Certification Regime), and use the new powers created by the Financial Services (Banking Reform) Act 2013 (the Banking Reform Act). ... Individuals subject to either the Senior -
CP15/42: Quarterly Consultation Paper No. 11
make consequential changes to various RDR forms as a result of the Senior Managers’ Regime. -
Andrew Bailey speech at the Annual Public Meeting 2018
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at our 2018 Annual Public Meeting. -
Information on first names within the Senior Managements Function - August 2021
The FCA provides information on the 50 most common forenames within the Senior Managements Function. -
Information on open FCA enforcement investigations - December 2020
The FCA provides a breakdown by category of all open FCA investigations as at the 23 November 2020. -
Regulatory Decisions Committee (RDC)
The RDC helps to ensure that contested enforcement decisions are made fairly. Find out more about the process and who sits on the committee. -
An update on our approach to authorisation and our Brexit preparations
Speech by Sarah Rapson, Director, Authorisations at the Association of Professional Compliance Consultants (APCC) Autumn Conference.