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Showing 71 to 80 of 711 search results for new Senior Managers Regime.

71. FCA publishes rules on how it will apply the new accountability regime to UK branches of overseas banks and Solvency II firms

    Press Releases Published: 13/08/2015 Last modified: 19/04/2016
    The new accountability regime covers the Senior Managers Regime; the Certification Regime; and new Conduct Rules. ... While the Senior Managers Regime will ensure that senior managers can be held accountable for any misconduct that falls within their

72. FCA publishes Annual Report for 2014/15

    Press Releases Published: 02/07/2015 Last modified: 14/09/2015
    launching Project Innovate to help bring new and innovative financial products and services to the market. ... implementing the new Senior Managers Regime. our market studies, including cash savings, retirement income and review of competition in the

73. FCA statement on the publication of the FX Global Code

    Statements Published: 25/05/2017 Last modified: 25/05/2017
    The FCA welcomes today’s publication of the FX Global Code. As we set out in our Mission, standards can be a useful way for the industry to police itself in support of our regulatory work and can help firms to communicate expectations of

74. Directory of certified and assessed persons

    Tasks for regulated firms Published: 04/09/2019 Last modified: 10/02/2023
    Find out how you can prepare and amend your certified and assessed person submission, and why it's important to confirm your details.

75. Culture and conduct - extending the accountability regime

    Speeches Published: 20/09/2017 Last modified: 20/09/2017
    Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at City and Financial Summit, London.

76. Joint FCA and PRA statement on SM&CR and coronavirus: our expectations of dual-regulated firms - December 2020 update

    Published: 18/12/2020 Last modified: 18/01/2021
    In April 2020, we set out our expectations to help dual-regulated firms apply the SM&CR following the exceptional circumstances that arose from the coronavirus pandemic (Covid-19). We offered some additional flexibility in the application of the

77. FCA proposes new measures to maintain firms’ focus on culture

    Press Releases Published: 28/09/2016 Last modified: 28/09/2016
    The Financial Conduct Authority (FCA) will mark six months since the implementation of the Senior Managers’ and Certification Regime by providing feedback on implementation so far and proposing measures to further strengthen the regime. The

78. CASS compliance – the bigger picture

    Speeches Published: 02/12/2014 Last modified: 19/12/2014
    Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version.

79. Debating trust and confidence in banking

    Speeches Published: 28/05/2015 Last modified: 28/05/2015
    Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the ResPublica Vocational Banking event in London. This is the text of the speech as drafted, which may differ from the delivered version.

80. Information on enforcement investigations into senior managers - May 2022

    FOI Release Date of Release: 27/05/2022
    The FCA answers questions multiple questions on enforcement investigations into senior managers.