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Showing 81 to 90 of 527 search results for Senior Managers Regime applications.

  1. FCA publishes final rules to make those in the banking sector more accountable

    Press Releases Published: 07/07/2015 Last modified: 19/04/2016
    The final rules cover the Senior Managers Regime; the Certification Regime; and new Conduct Rules. ... In particular:. The Senior Managers Regime focuses on individuals who hold key roles and responsibilities in relevant firms.

  2. Independence, confidence and fairness

    Speeches Published: 04/02/2016 Last modified: 04/02/2016
    Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at Bloomberg, in the City of London, on 4 February 2016, London. This is the text of the speech as drafted, which may differ from the delivered version.

  3. CP15/9: Strengthening accountability in banking: a new regulatory framework for individuals

    Consultation papers Published: 16/03/2015 Last modified: 14/09/2015
    To give firms as much time as possible to prepare for the changes, this paper provides a set of near-final rules on our new Senior Managers’ Regime, together with a ... apply it, and the steps that a Senior Manager should take in order to rebut the

  4. Letter from the Chairman to the Chancellor on Senior Managers and Certificate Scheme: extension to foreign banks

    Statements Published: 12/06/2014 Last modified: 13/06/2014
    1 Horse Guards Road. London. SW1A 2HQ. Thank you for your letter regarding the Senior Managers & Certificate Regime: extension to UK branches of foreign banks. ... expect, I welcome your intention to apply the Senior Managers & Certification Regime (“SM

  5. Our Perimeter Report

    Annual reports Published: 20/07/2022 Last modified: 05/04/2024
    Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products

  6. New priorities for banking reform

    Speeches Published: 17/06/2015 Last modified: 17/06/2015
    Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the Warwick Business School Westminster Forum. This is the text of the speech as drafted, which may differ from the delivered version.

  7. Highlights of the FCA’s new approach in 2021

    Press Releases Published: 31/12/2021 Last modified: 12/01/2022
    Our mission is to protect consumers from harm, enhance the integrity of the UK’s financial system and promote competition. We are continuing to pursue these objectives while also working to become a more innovative, adaptive and assertive regulator

  8. CASS compliance – the bigger picture

    Speeches Published: 02/12/2014 Last modified: 19/12/2014
    Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version.

  9. SM&CR and coronavirus: our expectations for solo-regulated firms - December 2020 update

    Statements Published: 18/12/2020 Last modified: 18/12/2020
    In April 2020, we set out our expectations to help solo-regulated firms apply the SM&CR following the exceptional circumstances arising from the coronavirus pandemic (Covid-19). We offered some additional flexibility in the application of the SM&CR

  10. CP15/10: Strengthening accountability in banking: UK branches of foreign banks

    Consultation papers Published: 16/03/2015 Last modified: 14/09/2015
    The regime is comprised of a Senior Managers Regime, Certification Regime and Conduct Rules, and aims to encourage individuals to take greater responsibility for their actions and make it easier for ... PRA CP7/15 / FCA CP15/5 on Approach to
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