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Showing 341 to 350 of 480 search results for principles of the Senior Managers Regime.
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New priorities for banking reform
Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the Warwick Business School Westminster Forum. This is the text of the speech as drafted, which may differ from the delivered version. -
Service standards 2019/20
The FCA measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2019/20. -
Wholesale market policy – a year in review
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 -
The view from the regulator on Operational Resilience
Speech by Megan Butler, FCA Executive Director of Supervision: Investment, Wholesale and Specialist, delivered on 5 December 2019 at 13.30 -
Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation
The FCA will also examine the behaviour of asset managers, focusing both on how firms ensure that trading activity is consistent with expectations of market conduct and how asset managers are ... implementing the measures set out in the Financial -
From intellectual certainty to debate
The equity transparency regime will, in turn, be extended from shares, to other equity-like instruments, like certificates, GDRs, ETFs and so on and so forth. ... Ultimately, the big reforms succeed, or fail, on matters of small detail not initial -
Creating and sustaining cultures of compliance: insights from psychology and beyond
This involves increasing the expected costs of non-compliance. The Senior Managers Regime, for example, aims to make the risks of wrongdoing more tangible by highlighting the individual’s personal area ... Another example relates to the Financial -
Cryptoasset registration: information for applicants
The FCA's requirements and expectations of cryptoasset businesses for AML/CTF regime registration. -
Reaping the rewards of investing in women
Speech by Sheree Howard, Executive Director of Risk and Compliance Oversight at PIMFA Women’s symposium conference -
Nikhil Rathi – APM opening remarks 2022
Opening remarks by Nikhil Rathi, Chief Executive of the FCA delivered at the FCA's 2022 Annual Public Meeting.