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Showing 321 to 330 of 417 search results for introduction of the senior managers regime.
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Partly contested cases, the pipeline and AML investigations
FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime. -
Apply to become a pre-paid funeral plans firm
If you’re a new funeral plan provider or intermediary, find out when you need to apply to the FCA for authorisation and how to apply. -
Annual Report 2015/16 and Competition Report 2013-16
The Annual Report provides an overview of our work:. implementing the Senior Managers and Certification Regime, which seeks to deliver a step change in individual accountability. ... taking tough action on past transgressions, issuing penalties totalling -
PS15/21: Changes to the Approved Persons Regime for Solvency II firms: Final rules (including feedback on CP14/25, CP15/5 and CP15/16), and consequentials relating to CP15/22 on strengthening accountability in banking
The rules cover two main issues. Firstly reforms to the Approved Persons Regime for firms to whom the PRA have applied the Solvency II regime. ... Find out more about thesenior managers and certification regime. -
Donre Advisory Limited enters liquidation
Donre Advisory Limited has entered creditors’ voluntary liquidation (CVL). Sean Bucknall and Andrew Hosking of Quantuma have been appointed as joint liquidators. -
PS15/24: Whistleblowing in deposit-takers, PRA-designated investment firms and insurers
they appoint a senior person to take responsibility for the effectiveness of these arrangements. ... The requirement to assign responsibilities to a whistleblowers’ champion will take effect on the same date as the rest of the Senior Managers Regime, 7 -
Global regulation in the post-crisis era
Speech by John Griffith-Jones, Chairman, FCA, delivered at the TheCityUK Annual Conference on 30 June 2016. -
Stress testing for human beings
Speech by Charles Randell, Chair of the FCA, delivered at the Gleneagles Pensions & Savings Symposium. -
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. -
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