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Showing 131 to 140 of 187 search results for legal function under the Senior Managers Regime.
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PS16/3: Strengthening accountability in banking: Feedback on CP15/22 and CP15/31; final rules on extending the certification regime to wholesale market activities and interim rules on referencing
As well as ensuring that, in future, senior managers can be held accountable for any misconduct that falls within their area of responsibility, our regime aims to hold individuals working at ... Firms are required to submit grandfathering notifications -
Service standards 2018/19
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 2018/19. -
AI: Flipping the coin in financial services
Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at the City and Financial Global AI Regulation Summit 2023. -
Highlights of the FCA’s new approach in 2021
Our mission is to protect consumers from harm, enhance the integrity of the UK’s financial system and promote competition. We are continuing to pursue these objectives while also working to become a more innovative, adaptive and assertive regulator -
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 Prudential Regulation Authority and The Financial Conduct Authority announce new rules on remuneration
Our rules will now mean that senior managers face clawback of bonuses for up to 10 years, if misconduct comes to light. ... The primary changes are:. Extending deferral (the period during which variable remuneration is withheld following the end of the -
Recovery plans – initial observations
For example, firms did not always provide sufficient evidence to justify the expected proceeds from a sale under stressed market conditions. ... Plans that include an appropriate communication strategy are likely to be more effective, particularly under -
SM&CR information related to general insurance and protection intermediary firms - June 2022
The FCA provides data on the Senior Managers and Certification Regime (SMCR), in respect of: general insurers and general insurance intermediaries. -
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. -
Primary Market Bulletin Issue No. 29
In this special edition, we publish a statement on feedback we received from PMB25 and the changes we have made in response. We also include the final note.