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Showing 361 to 370 of 480 search results for principles of the Senior Managers Regime.

  1. Annual Report 2015/16 and Competition Report 2013-16

    Corporate documents Published: 12/07/2016 Last modified: 07/12/2016
    The Annual Report provides an overview of our work:. implementing the Senior Managers and Certification Regime, which seeks to deliver a step change in individual accountability. ... taking tough action on past transgressions, issuing penalties totalling

  2. FCA reminds firms to regularly review regulatory permissions

    Statements Published: 18/01/2021 Last modified: 18/01/2021
    We are reminding firms of their obligation to regularly review regulatory permissions to ensure they are up to date and removed where they are not needed.

  3. Learning the lessons of the past as an industry

    Speeches Published: 02/12/2014 Last modified: 04/02/2015
    That is not a challenge that will disappear, even taking into account the criminal sanction for recklessness in the Banking Reform Act and the presumption of responsibility for senior managers that ... Importantly, the new senior managers regime for

  4. PS15/24: Whistleblowing in deposit-takers, PRA-designated investment firms and insurers

    Policy statements Published: 06/10/2015 Last modified: 26/05/2016
    they appoint a senior person to take responsibility for the effectiveness of these arrangements. ... The requirement to assign responsibilities to a whistleblowers’ champion will take effect on the same date as the rest of the Senior Managers Regime, 7

  5. PS15/21: Changes to the Approved Persons Regime for Solvency II firms: Final rules (including feedback on CP14/25, CP15/5 and CP15/16), and consequentials relating to CP15/22 on strengthening accountability in banking

    Policy statements Published: 13/08/2015 Last modified: 09/12/2016
    The rules cover two main issues. Firstly reforms to the Approved Persons Regime for firms to whom the PRA have applied the Solvency II regime. ... Find out more about thesenior managers and certification regime.

  6. Improving the Appointed Representatives regime through greater use of data

    Data Published: 28/09/2023 Last modified: 03/10/2023
    This publication includes data from the FCA's 2021 and 2022 data requests sent to principal firms and authorisation information collected from firms. It also outlines how the FCA is improving the Appointed Representatives’ Regime (AR) regime and

  7. Agile regulation and planning for success

    Speeches Published: 06/10/2022 Last modified: 06/10/2022
    Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at CISI/The Financial Planning Conference 2022

  8. Information relating to individual approvals and complaints relating to authorisations - March 2021

    FOI Release Date of Release: 11/03/2021
    The FCA responds to questions relating to applications for individual approvals, and complaints relating to authorisations and credit authorisations.

  9. Outcomes-focussed regulation: a measure of success?

    Speeches Published: 06/05/2021 Last modified: 11/06/2024
    Speech by Charles Randell, Chair of the FCA and PSR, to the Building Societies Association

  10. Information on Consumer Network and roundtable events - November 2021

    FOI Release Date of Release: 12/11/2021
    The FCA responds to multiple questions on the FCA's Consumer Network.