Search results
Showing 221 to 230 of 366 search results for function under the Senior Managers Regime.
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Speech: Beyond economics?
s model of competition FOR the market.What is the effect of the regime overall relative to the sum of its parts? ... be increased granularity of analysis in pursuing the core function of economics in conduct regulation: to explain how the markets work. -
AI: Moving from fear to trust
Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at the City and Financial Global summit: Regulation and risk management of Artificial Intelligence in financial services. -
Retail banking: product governance review
The latest stage of our supervision work looked at product governance in small and medium-sized retail banks. It examined how well banks consider customers’ needs when they design and sell products and provide after-sales services. We found common -
Asset management: common errors when applying for authorisation
Avoid delays and increase your chances of being authorised to work in the UK asset management sector. -
Women in finance: keeping up the pressure for progress
Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to the Women in Finance Summit, London -
FCA proposes new rules on dealing commission for investment managers
The Financial Conduct Authority (FCA) has today proposed improvements to the rules and new guidance over investment managers’ use of client commissions. These changes will ensure that charges paid by consumers for executing trades and related -
Brexit countdown for UK financial services sector
With one week to go until the end of the Brexit transition period, the FCA is urging financial services companies to ensure they are ready -
CP15/42: Quarterly Consultation Paper No. 11
make consequential changes to various RDR forms as a result of the Senior Managers’ Regime. ... add text to EG 7 to reflect the FCA’s ability to apply to the Court under section 89NA for a voting rights suspension order. -
Conduct Risk Briefing
Speech by Robert Taylor, Head of Wealth Management & Private Banking, at the FCA. This is the text of the speech as drafted, which may differ from the delivered version. -
Information on the gender of CF10/11s and SMF16/17s holders - August 2020
SMF16 and SMF 17 figures for 2019 reflect those functions held at dual-regulated firms that were subject to the Senior Managers and Certification Regime at the time.