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Showing 271 to 280 of 480 search results for principles of the Senior Managers Regime.
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Leadership and conduct
Speech by Martin Wheatley, Chief Executive, the FCA, at City Week 2014: International Financial Services in the Post-Reform World: Opportunities and Challenges. This is the text of the speech as drafted, which may differ from the delivered version. -
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 -
Principals and appointed representatives
If you’re a principal firm for an appointed representative (AR), find out what your responsibilities are and when to notify the FCA. -
Review of host Authorised Fund Management firms
We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed. -
Money laundering and terrorist financing
Find out more about the regulations and risk-based approach to anti-money laundering. -
Supervision of UK regulated covered bonds
Find out about our role supervising regulated covered bond programmes and regulated covered bonds, key features of the regime and stress testing. -
FX remediation programme: our next steps
We launched a remediation programme in 2014 to ensure UK foreign exchange (FX) firms addressed the root causes of failings and to drive up standards across the market. Find out how firms should respond to our findings and our next steps. -
PS19/7: Finalising the Directory
This Policy Statement sets out the final rules on the Directory, a new public register for checking the details of key individuals working in the financial services. It also summarises the feedback we received to Consultation Paper CP18/19 and our -
Authorisation and registration application fees
Find out how much your firm’s application fee will be to become authorised by us, or registered with us. -
Our Annual Report and Accounts 2016/17
Our Annual Report and Accounts shows how our work over the last year has met our objectives and delivered against the key priorities we set out in our Business Plan 2016/17.