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Showing 71 to 80 of 554 search results for board effectiveness review.
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Retail and Wholesale Banking: review of firms’ whistleblowing arrangements
We have reviewed how firms have implemented our whistleblowing rules. We have published the findings, including the areas of good practice we observed and areas for improvement, together with our expectations on firms’ whistleblowing arrangements. -
Senior Managers and Certification Regime Banking Stocktake Report
The findings of our review into the embedding of the Senior Managers and Certification Regime (SM&CR) in the banking sector. The SM&CR was introduced for deposit-taking firms and dual-regulated investment firms (the banking sector) in March 2016. -
Open-ended funds investing in less liquid assets
Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy, to Investment Association members. -
Understanding approaches to D&I in financial services
The FCA observed how financial services firms are designing and embedding diversity and inclusion strategies. The observations give an overview of initiatives to improve diversity and inclusion, which industry leaders can consider in reviewing their -
FCA response to the independent panels’ annual reports
In line with its statutory requirement, the FCA responds to key representations made by the Panels in their respective Annual Reports. -
Ten years after Lehman: how accountants can make finance safer
Speech by Charles Randell, Chair of the Financial Conduct Authority and Payment Systems Regulator on how accountants can make finance safer. -
Competition in the asset management industry: UK experiences, global implications
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Securities Industry and Financial Markets Association's (SIFMA) 2017 Annual Meeting. -
Connaught Independent Review call for information closes but investigation remains open to affected individuals
Raj Parker, the Independent Reviewer into the FSA/FCA’s approach to the Connaught Income Fund Series 1, announces that the Review’s initial call for information has now closed. -
A strategy for positive change: our ESG priorities
The FCA's environmental, social and governance (ESG) strategy sets out our target outcomes and the actions we expect to take to deliver these, to support the transition to a net zero economy. -
The FCA’s second phase of reform of the Listing Rules: Increasing transparency and encouraging more market participation
Speech by Clare Cole, FCA Director of Market Oversight, to The Regulation of Listed Companies Summit