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Showing 211 to 220 of 417 search results for introduction of the senior managers regime.

  1. Side pockets

    Consumers Your rights Published: 08/09/2022 Last modified: 20/03/2023
    Side pockets could affect anyone who invests in funds that are exposed to Russian assets. Find out more about how side pockets work and what investors can expect.

  2. Onshoring updates to our Handbook and Technical Standards

    Last modified: 26/05/2022
    We explain how we’ve prepared our Handbook and Technical Standards for the end of the transition period.

  3. Dealing commission

    Speeches Published: 10/07/2014 Last modified: 10/07/2014
    Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA conference on dealing commission in London. This is the text of the speech as drafted, which may differ from the delivered version.

  4. PS15/29: Strengthening accountability in banking: Final amendments to the Decision Procedure and Penalties Manual and the Enforcement Guide

    Policy statements Published: 09/12/2015 Last modified: 26/05/2016
    new accountability regime (including the Senior Managers Regime and the Certification Regime), and use the new powers created by the Financial Services (Banking Reform) Act 2013 (the Banking Reform Act). ... Individuals subject to either the Senior

  5. CP15/5: Approach to non-executive directors in banking and Solvency II firms & Application of the presumption of responsibility to Senior Managers in banking firms

    Consultation papers Published: 23/02/2015 Last modified: 14/09/2015
    CP15/5: Approach to non-executive directors in banking and Solvency II firms & Application of the presumption of responsibility to Senior Managers in banking firms. ... Under the revised approach the PRA and FCA will only make the following NEDs subject

  6. Looking ahead to 2014

    Speeches Published: 09/12/2013 Last modified: 09/12/2013
    Speech by Martin Wheatley, Chief Executive of the FCA, at the ICI Global Trading and Market Structure Conference. This is the text of the speech as drafted, which may differ from the delivered version.

  7. Operational Resilience

    Tasks for firms Published: 17/05/2017 Last modified: 04/03/2024
    We set out the requirements of our policy and how to report an operational disruption.

  8. FCA publishes final report in relation to RBS GRG

    Press Releases Published: 13/06/2019 Last modified: 13/06/2019
    The Financial Conduct Authority (FCA) has today published the final report on its investigation in to Royal Bank of Scotland’s (RBS) treatment of small and medium-sized enterprise (SME) customers transferred to its Global Restructuring Group (GRG).

  9. FCA and ICO publish joint update on GDPR

    Statements Published: 08/02/2018 Last modified: 13/02/2018
    The Financial Conduct Authority (FCA) and the Information Commissioners Office (ICO) have today published an update on the EU General Data Protection Regulation (GDPR).

  10. Remote or hybrid working: FCA expectations for firms

    Tasks for regulated firms Published: 11/10/2021 Last modified: 13/02/2023
    It's likely many firms will continue new ways of working. The FCA sets out expectations so they can meet regulatory responsibilities.