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Showing 21 to 30 of 366 search results for function under the Senior Managers Regime.
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FCA proposes new measures to maintain firms’ focus on culture
The Financial Conduct Authority (FCA) will mark six months since the implementation of the Senior Managers’ and Certification Regime by providing feedback on implementation so far and proposing measures to further strengthen the regime. The -
Tackling the hard questions
Speech by Mark Steward, director of enforcement and market oversight, at the Thomson Reuters Annual Compliance and Risk Summit 2016. -
Accountability, from debate to reality
Speech by Martin Wheatley, CEO of the Financial Conduct Authority, delivered at the City & Financial conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Data on enforcement investigations, including into senior managers - June 2022
The FCA answers mutiple questions regarding enforcement investigations, including into Senior Managers. -
REP008: Conduct Rules reporting for solo-regulated firms
Under the Senior Managers and Certification Regime (SM&CR), solo-regulated firms need to tell us whether disciplinary action has been taken against individuals, who aren't Senior Managers, for Conduct Rules breaches. -
Practical implications of US law on EU practice
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe. -
Information on enforcement investigations into Senior Managers - May 2022
The FCA responds to multiple questions on enforcement investigations into Senior Managers. -
Approved Persons help text: Connect
Read the FCA Connect help text for Approved Persons. -
FCA confirms accountability rules for wholesale traders and interim rules on regulatory references
This wide package of accountability reforms also includes proposals for regulatory references for candidates applying for senior manager and significant harm functions under the certification regime in banks, building societies, credit ... the Senior -
FCA consults on how firms and individuals will transition to the Senior Managers and Certification Regime
The Financial Conduct Authority (FCA) has today published a package of proposals on how firms and individuals will move to the Senior Managers and Certification Regime. The aim of the new regime is to make individuals more accountable for their