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Showing 241 to 250 of 711 search results for new Senior Managers Regime.

  1. Improving the Appointed Representatives regime through greater use of data

    Data Published: 28/09/2023 Last modified: 03/10/2023
    This publication includes data from the FCA's 2021 and 2022 data requests sent to principal firms and authorisation information collected from firms. It also outlines how the FCA is improving the Appointed Representatives’ Regime (AR) regime and

  2. Financial conduct regulation in a restless world

    Speeches Published: 08/05/2019 Last modified: 08/05/2019
    Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Deloitte conduct risk roadshow.

  3. Getting affordability right in consumer credit

    Speeches Published: 15/03/2018 Last modified: 15/03/2018
    Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, at Credit Summit, London.

  4. PS20/12: Extending implementation deadlines for the Certification Regime and Conduct Rules

    Policy statements Published: 28/10/2020 Last modified: 28/10/2020
    This Policy Statement (PS) sets out our final rules and summarises the feedback received to Consultation Paper CP 20/10 and our responses.

  5. FCA Enforcement and the Wholesale Markets

    Speeches Published: 26/11/2014 Last modified: 30/01/2015
    Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the 13th Annual FX Week Europe, London. This is the text of the speech as drafted, which may differ from the delivered

  6. CP15/22 Strengthening accountability in banking: Final rules (including feedback on CP14/31 and CP15/5) and consultation on extending the Certification Regime to wholesale market activities

    Consultation papers Published: 06/07/2015 Last modified: 07/02/2022
    In this paper we follow up on the feedback that we provided earlier this year in Consultation Paper 15/9: Strengthening accountability in banking: a new regulatory framework for individuals

  7. 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

  8. FCA's key priorities for the financial advice industry

    Speeches Published: 02/11/2022 Last modified: 13/06/2023
    Speech by Therese Chambers, our Director of Consumer Investments, delivered at the Personal Finance Society's Festival of Financial Planning.

  9. Get-rich-quick, Ponzi and pyramid schemes

    Consumers Scams Published: 10/08/2017 Last modified: 20/03/2023
    Find out how get-rich-quick schemes like Ponzi and pyramid schemes work, how to avoid scams and what to do if you’re scammed.

  10. CP15/15: Changes to the Approved Persons Regime for insurers not subject to Solvency II

    Consultation papers Published: 27/03/2015 Last modified: 07/02/2022
    We are consulting on amending our regime for regulating key individuals and governance arrangements in insurers.