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Showing 131 to 140 of 250 search results for opened under the Senior Managers Regime.
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Business Plan 2024/25
Our Business Plan details the work we'll do over the next 12 months to help deliver the commitments in our Strategy. -
CP15/5: Approach to non-executive directors in banking and Solvency II firms & Application of the presumption of responsibility to Senior Managers in banking firms
CP15/5: Approach to non-executive directors in banking and Solvency II firms & Application of the presumption of responsibility to Senior Managers in banking firms. ... Under the revised approach the PRA and FCA will only make the following NEDs subject -
Independence, confidence and fairness
Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at Bloomberg, in the City of London, on 4 February 2016, London. This is the text of the speech as drafted, which may differ from the delivered version. -
MiFID II: product governance review
In this MiFID II review we looked at product governance in a sample of 8 asset management firms. -
Investigation opening criteria
Factors we consider when deciding to open an investigation, including how we assess serious misconduct. -
Review of property funds and liquidity risks
Findings from our suspended property fund review. -
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 -
Trust and ethics – a regulator’s perspective
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at the launch of the St Mary’s University School of Business and Society, London. -
AI: Moving from fear to trust
Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at the City and Financial Global summit: Regulation and risk management of Artificial Intelligence in financial services. -
FCA to launch enhanced Financial Services Register
The FCA will be replacing its existing Financial Services Register with an enhanced Financial Services Register. We will then add a directory of certified and assessed persons to the Register.