Search results
Showing 251 to 260 of 711 search results for new Senior Managers Regime.
-
FCA and PRA jointly fine Mr James Staley £642,430 and announce special requirements regarding whistleblowing systems and controls at Barclays
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 -
The future of financial conduct regulation
Speech by Andrew Bailey, Chief Executive of the FCA, on the the future of financial conduct regulation, delivered at Bloomberg, London -
FS19/3: Recognition of codes: feedback on QCP 23 18/39
We summarise responses received to QCP 18/39 on the recognition of industry codes of conduct and outline our next steps. -
The FCA’s Business Plan and Priorities
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at the BIBA 2018 Annual Conference & Exhibition, Manchester -
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 -
PS22/1: FCA authorisation application fees: new structure
We are setting out the new structure for authorisation application fees that comes into effect from 24 January 2022. -
PS15/24: Whistleblowing in deposit-takers, PRA-designated investment firms and insurers
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 March 2016. ... Between 7 March 2016 and 7 September 2016, the whistleblowers’ champion will be -
Transforming to a forward-looking, proactive regulator
Speech by our CEO, Nikhil Rathi, delivered at the FCA’s Our Role and Business Plan webinar. -
The rationale for the FCA’s Mission and the context which the FCA operates in
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at City Banquet, Mansion House. -
PS18/8: Implementing asset management market study remedies and changes to our Handbook – feedback to CP17/18 and final rules
This policy statement sets out our final rules and guidance to address some of the findings of the asset management market study, focused on the duties that authorised fund managers have as the agents of investors in their funds.