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Showing 351 to 360 of 480 search results for principles of the Senior Managers Regime.
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PS15/30: Strengthening accountability in banking: UK branches of foreign banks (final rules)
The Feedback Statement included near-final rules for the Senior Managers Regime, Certification Regime and Conduct Rules for incoming branches. ... We published near-final rules to help incoming branches prepare for the start of the new regime in March -
Collaborate to compete: why we must all embrace a growth mindset
Speech by Nikhil Rathi, Chief Executive, FCA, delivered at the City Dinner, Mansion House. -
Assessing the value of financial advice
Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to The Personal Investment Management and Financial Advice Association (PIMFA) in London. -
FCA and PRA jointly fine Mr James Staley £642,430 and announce special requirements regarding whistleblowing systems and controls at Barclays
The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have together fined Mr James Staley, Chief Executive of Barclays Group (Barclays), a total of £642,430. Mr Staley failed to act with due skill, care and diligence -
Partly contested cases, the pipeline and AML investigations
FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime. -
CP21/13: A new Consumer Duty
We consult on a Consumer Duty that would set clearer and higher expectations for firms’ standards of care towards customers -
Considerations for firms after the transition period
Find out how Temporary Transitional Power (TTP) may affect you. It will depend on several factors, including the nature of your business and where your customers are located. -
Apply to become a pre-paid funeral plans firm
If you’re a new funeral plan provider or intermediary, find out when you need to apply to the FCA for authorisation and how to apply. -
The FCA decides to ban and fine Timothy Roberts and Andrew Wilkins
FCA has published decision notices against Timothy Roberts, the chief executive, and Andrew Wilkins, a former director of Catalyst Investment Group Limited (Catalyst). -
Global regulation in the post-crisis era
Speech by John Griffith-Jones, Chairman, FCA, delivered at the TheCityUK Annual Conference on 30 June 2016.