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Showing 151 to 160 of 250 search results for opened under the Senior Managers Regime.
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Realising the benefits of purposeful leadership
Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at the CCTA 2018 Conference, Nottingham. -
Investor engagement in a changing regulatory landscape
Taking a brief step back, I know that one area that you will be familiar with is corporate access - payments by investment managers to brokers to arrange access to senior management ... Under ESMA’s final proposals, an investment manager can purchase -
Fast-growing firms (FGFs) multi-firm review
We summarise our findings and set out our expectations of FCA solo-regulated fast-growing firms to identify, assess and manage the risks arising from their activities. -
Firms falling short of renewal expectations
This page summarises how general insurance firms have implemented our transparency in insurance renewals which came into effect in April 2017. -
FCA publishes rules on how it will apply the new accountability regime to UK branches of overseas banks and Solvency II firms
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 -
The role of regulation in encouraging good culture
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at the Investment Association Culture Conference, Mansion House, London. -
Global regulation in the post-crisis era
Speech by John Griffith-Jones, Chairman, FCA, delivered at the TheCityUK Annual Conference on 30 June 2016. -
The hallmarks of a future-fit workforce
Speech by Emily Shepperd, Chief Operating Officer and Executive Director of Authorisations at TheCityUK and Financial Services Skills Commission Future Skills Conference. -
Creating and sustaining cultures of compliance: insights from psychology and beyond
This involves increasing the expected costs of non-compliance. The Senior Managers Regime, for example, aims to make the risks of wrongdoing more tangible by highlighting the individual’s personal area ... Another example relates to the Financial -
Reforming our capital markets ecosystem
Speech by Nikhil Rathi, our Chief Executive delivered at the Global Investment Management Summit.