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Showing 121 to 130 of 178 search results for currently come under the Senior Managers Regime.
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International regulatory developments affecting investment management
Speech by Nikhil Rathi, FCA Chief Executive, delivered at the Investment Association Annual Conference 2024. -
Assessing the value of financial advice
Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to The Personal Investment Management and Financial Advice Association (PIMFA) in London. -
PS18/18: Industry Codes of Conduct and Discussion Paper on FCA principle 5
In this Policy Statement we respond to feedback arising from CP17/37 and publish handbook guidance regarding the FCA’s recognition of industry codes of conduct. Code authors will be able to seek recognition from 18 July 2018 when these this -
PS22/1: FCA authorisation application fees: new structure
We are setting out the new structure for authorisation application fees that comes into effect from 24 January 2022. -
Speech: Culture in UK banking – regulatory priorities
Hence the main aim of our major initiative, the Senior Managers and Certification Regime or ‘SMCR’, is to drive cultural change. ... FCA’s Senior Managers Regime for financial firms. -
Partly contested cases, the pipeline and AML investigations
FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime. -
FCA Enforcement and the Wholesale Markets
Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the 13th Annual FX Week Europe, London. This is the text of the speech as drafted, which may differ from the delivered -
Service standards 2020/21
The FCA measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2020/21. -
Where next for investment and asset management regulation?
Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017. -
From intellectual certainty to debate
And certainly, many of the key issues currently occupying the minds of regulators do incorporate both ends of this debate. ... But as has been repeated countless times over the last ten years, out of crisis comes opportunity.