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Showing 31 to 40 of 480 search results for principles of the Senior Managers Regime.
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Optimising the Senior Managers and Certification Regime: Policy Statement 19/20 and Feedback to CP 19/4
Today we publish final rules on the extension of the Senior Managers and Certification Regime (SM&CR) to FCA solo-regulated firms, including claims management companies. -
Benchmarks supervision
Benchmark administrators and supervised contributors are overseen by the Benchmarks Supervision team. Learn more about notifications and providing information. -
Clarifying our supervisory intentions: overall responsibility for the legal function under the Senior Managers Regime
It has come to our attention that there is uncertainty as to whether an individual in charge of a firm’s legal function requires approval under our Senior Managers regime. This statement:describes our plans to consult on this area; and makes clear -
The expanding scope of individual accountability for corporate misconduct
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement -
Changes in mortgage regulation
Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations, delivered at the Council of Mortgage Lenders conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Getting culture and conduct right - the role of the regulator
Speech by Jonathan Davidson, Director of Supervision – retail and authorisations at the FCA, delivered at the 2nd Annual Culture and Conduct Forum for the Financial Services Industry in London. -
New accountability regime for banks and insurers comes into force
As previously announced, the PRA and FCA will apply key principles of the Senior Managers Regime to senior members of staff in both regulators. ... Regulators also need to have high standards of conduct so we are applying the core principles of the -
Fair and effective markets review
The recommendations seek to embed accountability with front-line staff for their actions and to make senior managers properly responsible for their role in controlling their businesses and managing their staff. ... First, the Senior Managers and -
Transforming culture in financial services
Speech by Andrew Bailey, Chief Executive of the FCA, at the Transforming culture in financial services conference. -
Transparency
The FCA sets out to be as open and accountable as possible, so it can be scrutinised by consumers, firms and Parliament. To do this the FCA publishes information about regulated firms and individuals, or it requires firms and individuals to do so.