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Showing 191 to 200 of 250 search results for opened under the Senior Managers Regime.

  1. Keeping up with the credit sector: the FCA’s view on the market today

    Speeches Published: 30/03/2017 Last modified: 30/03/2017
    Speech by Jonathan Davidson, Director of Supervision – retail and authorisations at the FCA, at Credit Summit in London.

  2. Primary Market Bulletin 42

    Newsletters Published: 12/12/2022 Last modified: 12/12/2022
    In this edition we cover areas including climate related disclosures, the National Security and Investment Act, unlawful disclosure by Sir Christopher Gent and rules and guidance for cash shells and SPACS on reverse takeovers.

  3. A financial system to support the recovery

    Speeches Published: 16/06/2020 Last modified: 16/06/2020
    Speech by Charles Randell, Chair of the FCA, to a virtual roundtable of bank chairs hosted by UK Finance.

  4. PS16/3: Strengthening accountability in banking: Feedback on CP15/22 and CP15/31; final rules on extending the certification regime to wholesale market activities and interim rules on referencing

    Policy statements Published: 04/02/2016 Last modified: 26/05/2016
    As well as ensuring that, in future, senior managers can be held accountable for any misconduct that falls within their area of responsibility, our regime aims to hold individuals working at ... If your firm is affected by the Senior Managers and

  5. Regulatory priorities for retail banking

    Speeches Published: 23/11/2017 Last modified: 23/11/2017
    Speech delivered by Karina McTeague, Director of Retail Banking Supervision at the FCA, at the Westminster Business Forum on retail banking and payments.

  6. Wholesale market policy – a year in review

    Speeches Published: 11/12/2015 Last modified: 11/12/2015
    Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at the ICI Global Trading and Market Structure Conference in London on 8 December 2015. This is the text of the speech as drafted, which may differ from the

  7. Regulatory Decisions Committee (RDC)

    About us Who we are Published: 05/04/2016 Last modified: 17/06/2024
    The RDC helps to ensure that contested enforcement decisions are made fairly. Find out more about the process and who sits on the committee.

  8. Business Plan 2022/23

    Business plans Published: 07/04/2022 Last modified: 27/04/2022
    The FCA Business Plan details the work we'll do over the next 12 months to help deliver the commitments in our Strategy.

  9. PS20/12: Extending implementation deadlines for the Certification Regime and Conduct Rules

    Policy statements Published: 28/10/2020 Last modified: 28/10/2020
    This Policy Statement (PS) sets out our final rules and summarises the feedback received to Consultation Paper CP 20/10 and our responses.

  10. Improving the Appointed Representatives regime through greater use of data

    Data Published: 28/09/2023 Last modified: 03/10/2023
    This publication includes data from the FCA's 2021 and 2022 data requests sent to principal firms and authorisation information collected from firms. It also outlines how the FCA is improving the Appointed Representatives’ Regime (AR) regime and