Search results
Showing 141 to 150 of 366 search results for function under the Senior Managers Regime.
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CP16/1: Consequential changes to the Senior Managers Regime
CP16/1: Consequential changes to the Senior Managers Regime. Consultation papers First published:. ... CP16/1: Consequential changes to the Senior Managers Regime. -
Appointing intermediaries if you’re a funeral plan provider
Find out how to appoint intermediaries to distribute and sell your plans. -
Whistleblowing in practice: Case studies
Are you thinking about blowing the whistle on wrongdoing? Find out how whistleblowing can help the FCA to act and how the FCA protects other firms. -
Getting culture and conduct right - the role of the regulator
Speech by Jonathan Davidson, Director of Supervision – retail and authorisations at the FCA, delivered at the 2nd Annual Culture and Conduct Forum for the Financial Services Industry in London. -
Enforcement investigations and the Senior Managers Regime information - October 2020
FCA provides information on Enforcement investigations and the Senior Managers Regime. -
Senior Managers and Certification Regime: supervisory review
We are reporting the findings of our in-depth supervisory review of the Statements of Responsibilities (SoRs) and responsibilities maps supplied with grandfathering notifications for firms. -
FCA proposes new Directory of financial services workers
The Financial Conduct Authority (FCA) has today proposed a new Directory to help consumers and firms check the status and history of individuals working in financial services. -
FCA statement on proposals to introduce a public register
Later this year, the Financial Conduct Authority (FCA) will consult on proposals to make information available on a wider range of individuals at authorised firms. -
Culture and conduct - extending the accountability regime
Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at City and Financial Summit, London. -
Debating trust and confidence in banking
Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the ResPublica Vocational Banking event in London. This is the text of the speech as drafted, which may differ from the delivered version.