Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 121 to 130 of 250 search results for opened under the Senior Managers Regime.

  1. Sustainability

    Speeches Published: 22/07/2014 Last modified: 05/08/2014
    the Senior Managers and Certified Persons Regimes. ... The new regime will increase accountability of individuals in positions of responsibility and raise standards of governance.

  2. Leading the Way on Regulation

    Speeches Published: 16/05/2019 Last modified: 17/05/2019
    Speech delivered by Karina McTeague, Director of General Insurance and Conduct Specialists Supervision, at the British Insurance Brokers' Association (BIBA) Conference 2019.  

  3. Our approach to supervision

    Corporate documents Published: 19/03/2024 Last modified: 19/03/2024
    Our approach to supervision sets out how we carry out our regulatory oversight. It is designed to help firms, consumers and markets understand how we work, and fulfil our accountability to Parliament and to the public.

  4. IFPR implementation observations: quantifying threshold requirements and managing financial resources

    Multi-firm reviews Published: 27/02/2023 Last modified: 09/03/2023
    Firms should consider these and how they can strengthen their processes.

  5. Outlining the FCA’s approach to authorisation

    Speeches Published: 15/03/2018 Last modified: 15/03/2018
    Speech by Sarah Rapson, Director, Authorisations at the Association of Professional Compliance Consultants (APCC) Annual Conference.

  6. FG19/2: SM&CR: Guidance on Statements of Responsibilities and Responsibilities Maps

    Finalised guidance Published: 08/03/2019 Last modified: 30/08/2019
    This page explains the FCA's final guidance on practical assistance and information to solo-regulated firms when preparing their Statements of Responsibilities and Responsibilities Maps.

  7. Overview of the FCA prudential approach

    Speeches Published: 21/05/2015 Last modified: 21/05/2015
    Speech by Nausicaa Delfas, Director of Specialist Supervision at the FCA, delivered at the first FCA Prudential Supervision Forum. This is the text of the speech as drafted, which may differ from the delivered version.

  8. Locking down market abuse

    Speeches Published: 08/03/2021 Last modified: 08/03/2021
    Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the Expert Forum: Market Abuse 2021.

  9. What can the consumer credit sector expect from the FCA?

    Speeches Published: 21/03/2019 Last modified: 21/03/2019
    Speech by Jonathan Davidson, Executive Director of Supervision – Retail and Authorisations, at the Credit Summit, London.

  10. What makes good conduct regulation?

    Speeches Published: 14/02/2017 Last modified: 14/02/2017
    Speech by John Griffith Jones, Chairman at the FCA, delivered at the Cambridge Judge Business School.