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Showing 301 to 310 of 417 search results for introduction of the senior managers regime.

  1. AI: Moving from fear to trust

    Speeches Published: 09/11/2022 Last modified: 20/03/2024
    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.

  2. Wholesale market policy – a year in review

    Speeches Published: 11/12/2015 Last modified: 11/12/2015
    Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at the ICI Global Trading and Market Structure Conference in London on 8 December 2015. This is the text of the speech as drafted, which may differ from the

  3. Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation

    Press Releases Published: 31/03/2014 Last modified: 01/04/2014
    The FCA will also examine the behaviour of asset managers, focusing both on how firms ensure that trading activity is consistent with expectations of market conduct and how asset managers are ... implementing the measures set out in the Financial

  4. New priorities for banking reform

    Speeches Published: 17/06/2015 Last modified: 17/06/2015
    Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the Warwick Business School Westminster Forum. This is the text of the speech as drafted, which may differ from the delivered version.

  5. Service standards 2019/20

    Data Published: 24/06/2020 Last modified: 24/06/2020
    The FCA measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2019/20.

  6. AI: Flipping the coin in financial services

    Speeches Published: 05/10/2023 Last modified: 05/10/2023
    Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at the City and Financial Global AI Regulation Summit 2023.

  7. The view from the regulator on Operational Resilience

    Speeches Published: 05/12/2019 Last modified: 05/12/2019
    Speech by Megan Butler, FCA Executive Director of Supervision: Investment, Wholesale and Specialist, delivered on 5 December 2019 at 13.30

  8. Cryptoasset registration: information for applicants

    Published: 26/10/2023 Last modified: 07/02/2024
    The FCA's requirements and expectations of cryptoasset businesses for AML/CTF regime registration.

  9. PS15/30: Strengthening accountability in banking: UK branches of foreign banks (final rules)

    Policy statements Published: 16/12/2015 Last modified: 26/05/2016
    The Feedback Statement included near-final rules for the Senior Managers Regime, Certification Regime and Conduct Rules for incoming branches. ... We published near-final rules to help incoming branches prepare for the start of the new regime in March

  10. FCA and PRA jointly fine Mr James Staley £642,430 and announce special requirements regarding whistleblowing systems and controls at Barclays

    Press Releases Published: 11/05/2018 Last modified: 11/05/2018
    The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have together fined Mr James Staley, Chief Executive of Barclays Group (Barclays), a total of £642,430. Mr Staley failed to act with due skill, care and diligence