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Showing 61 to 70 of 178 search results for currently come under the Senior Managers Regime.
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FCA confirms accountability rules for wholesale traders and interim rules on regulatory references
The rules come into effect on 7 March 2016. The Conduct Rules will also apply to individuals outside the Senior Managers and Certification Regimes from 7 March 2017. ... This wide package of accountability reforms also includes proposals for regulatory -
Our investigations – the evolving approach
Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum. -
IFPR and eligibility for enhanced SM&CR status as a Significant SYSC firm
The FCA clarify the definition of ’Significant SYSC firm’ and eligibility for Enhanced Status under the SM&CR regime -
CP15/9: Strengthening accountability in banking: a new regulatory framework for individuals
We are also consulting on guidance on the presumption of responsibility that applies to senior managers under the Financial Services (Banking Reform) Act 2013. ... To give firms as much time as possible to prepare for the changes, this paper provides a -
Conduct risk in FX markets
Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe. -
Promoting competitiveness is a juggling act
Speech by Sarah Pritchard, Executive Director, Markets and Executive Director, International at TheCityUK International Conference 2024. -
FCA launches enhanced Financial Services Register to protect consumers
The FCA has today launched its updated Financial Services (FS) Register – including a simpler design and clearer language. -
Consumer Duty – information for firms
To help firms implement the Duty, we explain more on the areas of the Duty that we have been receiving firm queries on which are relevant for the wider market. -
FCA publishes final rules to make those in the banking sector more accountable
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. -
Climate change and sustainable finance
The FCA's work on climate change and other environmental, social and governance (ESG) issues.