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Showing 461 to 470 of 527 search results for Senior Managers Regime applications.
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CP16/43: Markets in Financial Instruments Directive II implementation – Consultation Paper IV
We are consulting on our fourth set of implementation proposals for MiFID II and seeking views on our proposed changes to the FCA Handbook. -
FCA publishes discussion paper on transforming culture in financial services
The Financial Conduct Authority (FCA) has today published a discussion paper on transforming culture in financial services which presents views from academics and industry thought leaders. The paper is intended to provide a basis for stimulating -
Whistleblowing qualitative assessment survey 2022
This report sets out the findings of a qualitative assessment survey of a small sample of whistleblowers who disclosed their concerns about wrongdoing to the FCA. The survey was conducted to understand whistleblowers’ experience of reporting to -
PS18/17: The European Money Market Funds (MMF) Regulation
In this Policy Statement, we respond to feedback arising from CP18/4 and publish final rules amending our Handbook to ensure consistency with the requirements of the EU Money Market Funds (MMF) Regulation. We also apply fee schedules to enable us -
Effectiveness and proportionality: our financial crime priorities
Speech by Rob Gruppetta, Head of the Financial Crime Department at the FCA, at our Financial Crime Conference. -
Consumer Investments: Strategy and Feedback Statement
The FCA sets out its view of consumer harm in this market and its 3-year strategy to address this. -
The retrospective application of rules: feedback on the call for examples
We asked firms to provide examples of the retrospective application of regulatory rules -
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 -
Comparison of banking providers’ fraud controls
This page contains information about banks’ fraud controls. It is intended to enable consumers and consumer groups to compare how banks protect their customers against fraud, and to help consumers to make better informed choices about their -
Building a financial regulatory system suitable for the UK in the new era
Speech delivered by Nausicaa Delfas, Executive Director of International, at the City & Financial Professional Virtual Roundtables.