Search results
Showing 261 to 270 of 366 search results for function under the Senior Managers Regime.
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An update on our approach to authorisation and our Brexit preparations
Speech by Sarah Rapson, Director, Authorisations at the Association of Professional Compliance Consultants (APCC) Autumn Conference. -
The view from the regulator on Operational Resilience
Speech by Megan Butler, FCA Executive Director of Supervision: Investment, Wholesale and Specialist, delivered on 5 December 2019 at 13.30 -
Investor protection in the UK: New tools, new challenges
Speech by Maggie Craig, Acting Head of Savings and Investments, at the FCA MiFID II Conference 2014. This is the text of the speech as drafted, which may differ from the delivered version. -
Regulation in a changing world
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the City of London/Cicero event on Future of Regulation. -
Learning the lessons of the past as an industry
That is not a challenge that will disappear, even taking into account the criminal sanction for recklessness in the Banking Reform Act and the presumption of responsibility for senior managers that ... Importantly, the new senior managers regime for -
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. -
FCA reminds firms to regularly review regulatory permissions
We are reminding firms of their obligation to regularly review regulatory permissions to ensure they are up to date and removed where they are not needed. -
General insurance pricing attestation multi-firm review
Assessing how firms satisfied themselves that they do not systematically discriminate against motor and home insurance customers based on the number of years they have held their policy, including any renewal (tenure). -
Enhancing the UK’s capital markets – The FCA’s role and priorities
Speech by Sarah Pritchard, Executive Director, Markets, to City & Financial Global’s The Future of UK Financial Regulation Summit. -
Has the industry improved ten years on?
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Banking Litigation & Regulation Forum 2018.