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Showing 241 to 250 of 480 search results for principles of the Senior Managers Regime.

  1. RCB key documents

    Published: 13/05/2016 Last modified: 27/03/2024
    Find our key documents and useful information if the regulated covered bonds regime applies to your firm.

  2. Side pockets

    Consumers Your rights Published: 08/09/2022 Last modified: 20/03/2023
    Side pockets could affect anyone who invests in funds that are exposed to Russian assets. Find out more about how side pockets work and what investors can expect.

  3. Onshoring updates to our Handbook and Technical Standards

    Last modified: 26/05/2022
    We explain how we’ve prepared our Handbook and Technical Standards for the end of the transition period.

  4. Dealing commission

    Speeches Published: 10/07/2014 Last modified: 10/07/2014
    Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA conference on dealing commission in London. This is the text of the speech as drafted, which may differ from the delivered version.

  5. FCA fines LJ Financial Planning Ltd £107,200

    Press Releases Published: 10/12/2020 Last modified: 10/12/2020
    Independent financial advice firm is fined for providing its customers with unsuitable pension switching and transfer advice and failing to manage its conflicts of interest.

  6. PS15/29: Strengthening accountability in banking: Final amendments to the Decision Procedure and Penalties Manual and the Enforcement Guide

    Policy statements Published: 09/12/2015 Last modified: 26/05/2016
    new accountability regime (including the Senior Managers Regime and the Certification Regime), and use the new powers created by the Financial Services (Banking Reform) Act 2013 (the Banking Reform Act). ... Individuals subject to either the Senior

  7. Policy development update

    News stories Published: 02/07/2020 Last modified: 10/09/2021
    The policy development update provides some information on our recent and upcoming publications but should not be regarded as comprehensive.

  8. 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

    Consultation papers Published: 23/02/2015 Last modified: 14/09/2015
    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

  9. FCA publishes final report in relation to RBS GRG

    Press Releases Published: 13/06/2019 Last modified: 13/06/2019
    The Financial Conduct Authority (FCA) has today published the final report on its investigation in to Royal Bank of Scotland’s (RBS) treatment of small and medium-sized enterprise (SME) customers transferred to its Global Restructuring Group (GRG).

  10. Countdown to consumer credit takeover

    Speeches Published: 05/03/2014 Last modified: 07/02/2022
    Speech by Christopher Woolard, Director of Policy, Risk and Research, the FCA, at Frontier Economics, London.