Search results
Showing 321 to 330 of 366 search results for function under the Senior Managers Regime.
-
The final countdown: Completing sterling LIBOR transition by end-2021
After many years of preparation, 2021 is the critical year for firms to complete their transition away from LIBOR. The LIBOR administrator, ICE Benchmark Administration, is consulting on ceasing publication of all sterling LIBOR settings at the end -
CP21/13: A new Consumer Duty
We consult on a Consumer Duty that would set clearer and higher expectations for firms’ standards of care towards customers -
Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings
manipulation, including one manager who was also involved in the Repo Rate misconduct. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well. -
IFPR implementation observations: quantifying threshold requirements and managing financial resources – concluding report
Further observations on how firms are implementing requirements on the Internal Capital Adequacy and Risk Assessment process and reporting under the Investment Firms Prudential Regime. -
Consumer Investments Strategy - 2 Year Update
The FCA provides a 2 year update on its progress against the workstreams and outcomes it committed to in its Consumer Investments Strategy in September 2021. -
FCA publishes Annual Report 2015/16 and report of its competition activities since 2013
Implementing the Senior Managers and Certification Regime, which seeks to deliver a step change in individual accountability;. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well. -
Findings of multi-firm review into insurers' valuation of vehicles
We set out the findings from our review which assesses firms’ claims-handling processes for valuing vehicles which have been stolen or written-off (‘total-loss’ claims). -
Andrew Bailey keynote speech on MiFID II at the European Independent Research Providers Association
Speech by Andrew Bailey, Chief Executive of the FCA, on the Markets in Financial Instruments Directive (MiFID II) at the European Independent Research Providers Association. -
A regulatory perspective: measuring and assessing culture, now and in the future, the role of purpose and the importance of D&I
Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the IA Culture in Investment Management Forum -
Best practice note - Identifying, controlling and disclosing inside information
This note is for government departments, industry regulators and public bodies to help them in complying with the relevant obligations under MAR.