Search results
Showing 211 to 220 of 250 search results for opened under the Senior Managers Regime.
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Consumer Duty implementation plans
The Consumer Duty will set higher and clearer standards of consumer protection across financial services and require firms to act to deliver good outcomes for customers. The FCA sets out here the findings from their review of firms’ plans to embed -
SM&CR information related to general insurance and protection intermediary firms - June 2022
The FCA provides data on the Senior Managers and Certification Regime (SMCR), in respect of: general insurers and general insurance intermediaries. -
FCA's key priorities for the financial advice industry
Speech by Therese Chambers, our Director of Consumer Investments, delivered at the Personal Finance Society's Festival of Financial Planning. -
Transforming to a forward-looking, proactive regulator
Speech by our CEO, Nikhil Rathi, delivered at the FCA’s Our Role and Business Plan webinar. -
The FCA’s Business Plan and Priorities
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at the BIBA 2018 Annual Conference & Exhibition, Manchester -
Review of principal firms in the investment management sector
We have reviewed how asset managers calculate and disclose transaction costs and how effective overall cost disclosures are. -
Latest FCA perimeter report calls for legislative change to protect consumers
In the 2020/21 Perimeter Report, the FCA has called for legislative change to address concerns beyond its remit. -
PS22/1: FCA authorisation application fees: new structure
We are setting out the new structure for authorisation application fees that comes into effect from 24 January 2022. -
PS15/21: Changes to the Approved Persons Regime for Solvency II firms: Final rules (including feedback on CP14/25, CP15/5 and CP15/16), and consequentials relating to CP15/22 on strengthening accountability in banking
The amendments to the Handbook described in Chapter 7 affect all firms regulated under FSMA, but these are minor, consequential changes to enable the new accountability regime for banks, PRA designated ... Find out more about thesenior managers and -
How to flex your organisation's power through culture and conduct
Speech by Emily Shepperd, Chief Operating Officer and Executive Director of Authorisations at City & Financial's Culture and Conduct Forum.