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Showing 41 to 50 of 711 search results for new Senior Managers Regime.
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Conduct risk in FX markets
Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe. -
PS18/14: Extending the Senior Managers and Certification Regime to FCA firms – Feedback to CP17/25 and CP17/40, and near-final rules
We have published near-final rules on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms. -
Fair and effective markets review
The recommendations seek to embed accountability with front-line staff for their actions and to make senior managers properly responsible for their role in controlling their businesses and managing their staff. ... First, the Senior Managers and -
Information on enforcement investigations opened against individuals (SMR) - May 2022
The FCA provides data on enforcement investigations opened against individuals (SMR). -
What can the consumer credit sector expect from the FCA?
Speech by Jonathan Davidson, Executive Director of Supervision – Retail and Authorisations, at the Credit Summit, London. -
Examining the future of anti-money laundering regulations
Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015 -
Letter from the Chairman to the Chancellor on Senior Managers and Certificate Scheme: extension to foreign banks
1 Horse Guards Road. London. SW1A 2HQ. Thank you for your letter regarding the Senior Managers & Certificate Regime: extension to UK branches of foreign banks. ... expect, I welcome your intention to apply the Senior Managers & Certification Regime (“SM -
PRA and FCA conclude investigations into senior managers in relation to the 2008 failure of HBOS plc
PRA and FCA joint investigations into certain former senior managers at HBOS plc have now concluded with a decision by each of the Authorities’ independent decision-makers to take no further action. -
Compliance, Culture and Evolving Regulatory Expectations
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight. -
Rules that apply to firms in SRO and fund operators in the TMPR
We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR).