Search results
Showing 101 to 110 of 178 search results for currently come under the Senior Managers Regime.
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Examining the future of anti-money laundering regulations
Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015 -
CASS compliance – the bigger picture
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. -
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 -
The changing face of financial crime
Speech by Martin Wheatley, Chief Executive, the FCA, at the FCA Financial Crime Conference, London. -
PS13/5 Implementation of the Alternative Investment Fund Managers Directive
We are setting out our rules for implementing the Alternative Investment Fund Managers Directive (AIFMD) and responding to the feedback to our consultation. -
Regulatory priorities for retail banking
Speech delivered by Karina McTeague, Director of Retail Banking Supervision at the FCA, at the Westminster Business Forum on retail banking and payments. -
Rules that apply to firms in SRO and fund operators in the TMPR
We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR). -
Maintaining market confidence: an update on Brexit
Speech delivered by Nausicaa Delfas, Executive Director of International at the City and Financial: 3rd UK Financial Services Brexit Summit -
Reforming our capital markets ecosystem
Speech by Nikhil Rathi, our Chief Executive delivered at the Global Investment Management Summit. -
FCA publishes rules on how it will apply the new accountability regime to UK branches of overseas banks and Solvency II firms
The new accountability regime covers the Senior Managers Regime; the Certification Regime; and new Conduct Rules. ... While the Senior Managers Regime will ensure that senior managers can be held accountable for any misconduct that falls within their