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Showing 201 to 210 of 711 search results for new Senior Managers Regime.

  1. 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

  2. Assessing the value of financial advice

    Speeches Published: 04/12/2017 Last modified: 11/04/2018
    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.

  3. Carbon credit trading scams

    Consumers Scams Published: 10/08/2017 Last modified: 20/03/2023
    Find out how carbon credit trading works, how to avoid scams and what to do if you’re scammed.

  4. Creating and sustaining cultures of compliance: insights from psychology and beyond

    Insight Published: 16/12/2016 Last modified: 17/02/2017
    This involves increasing the expected costs of non-compliance. The Senior Managers Regime, for example, aims to make the risks of wrongdoing more tangible by highlighting the individual’s personal area ... Another example relates to the Financial

  5. A financial system to support the recovery

    Speeches Published: 16/06/2020 Last modified: 16/06/2020
    Speech by Charles Randell, Chair of the FCA, to a virtual roundtable of bank chairs hosted by UK Finance.

  6. Apply to become a pre-paid funeral plans firm

    Firms Published: 11/06/2021 Last modified: 04/12/2023
    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.

  7. Operational resilience: insights and observations for firms

    Tasks for firms Published: 28/05/2024 Last modified: 28/05/2024
    Make sure your firm is ready to comply with the FCA's operational resilience rules by 31 March 2025. Use our observations to help review your firm’s approach.

  8. LIBOR and mortgage interest rates

    Consumers Your rights Published: 10/06/2021 Last modified: 20/03/2023
    LIBOR is an interest rate benchmark that’s being phased out. If your mortgage uses LIBOR, find out what you should expect to happen and what you need to do.

  9. Agile regulation and planning for success

    Speeches Published: 06/10/2022 Last modified: 06/10/2022
    Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at CISI/The Financial Planning Conference 2022

  10. Investor engagement in a changing regulatory landscape

    Speeches Published: 13/07/2015 Last modified: 14/07/2015
    Taking a brief step back, I know that one area that you will be familiar with is corporate access - payments by investment managers to brokers to arrange access to senior management ... investor and corporate issuer representatives.We also undertook