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Showing 381 to 390 of 480 search results for principles of the Senior Managers Regime.

  1. Operational resilience: insights and observations for firms

    Tasks for firms Published: 28/05/2024 Last modified: 28/05/2024
    Make sure your firm is ready to comply with the FCA's operational resilience rules by 31 March 2025. Use our observations to help review your firm’s approach.

  2. PS18/8: Implementing asset management market study remedies and changes to our Handbook – feedback to CP17/18 and final rules

    Policy statements Published: 28/06/2017 Last modified: 05/04/2018
    This policy statement sets out our final rules and guidance to address some of the findings of the asset management market study, focused on the duties that authorised fund managers have as the agents of investors in their funds.

  3. Andrew Bailey speech at the Annual Public Meeting 2019

    Speeches Published: 17/07/2019 Last modified: 17/07/2019
    Speech by Andrew Bailey, Chief Executive of the FCA, delivered at our 2019 Annual Public Meeting.

  4. FCA’s national and international response to coronavirus (Covid-19) and Brexit

    Speeches Published: 06/05/2020 Last modified: 08/04/2024
    Speech delivered by Nausicaa Delfas, Executive Director of International, at Deloitte Annual Conduct Risk Conference (webinar).

  5. State Street UK fined £22.9m by Financial Conduct Authority for Transitions Management failings

    Press Releases Published: 31/01/2014 Last modified: 31/01/2014
    The three relevant Principles of Business are:. Management and Control: Principle three. ... A transition manager can charge fees and generate revenue in a number of different ways.

  6. Speech: Beyond economics?

    Insight Published: 25/01/2017 Last modified: 28/02/2017
    s model of competition FOR the market.What is the effect of the regime overall relative to the sum of its parts? ... ensure that the regime is proportionate.Legitimacy will be lost as stakeholders see net costs mounting at regime level from regulation

  7. Accomplishments of the last 5 years

    Speeches Published: 14/03/2018 Last modified: 14/03/2018
    Speech by John Griffith-Jones, Chairman, FCA, delivered at an event hosted by TheCityUK at Linklaters LLP, London.

  8. LIBOR and mortgage interest rates

    Consumers Your rights Published: 10/06/2021 Last modified: 20/03/2023
    LIBOR is an interest rate benchmark that’s being phased out. If your mortgage uses LIBOR, find out what you should expect to happen and what you need to do.

  9. FS15/3: Strengthening accountability in banking: UK branches of foreign banks – Feedback on FCA CP15/10

    Feedback statements Published: 13/08/2015 Last modified: 14/09/2015
    In this paper we are providing near-final rules in anticipation of secondary legislation that will extend the statutory elements of the regime to incoming branches. ... The regime does not apply to Europe Economic Area (EEA) firms that do not have a

  10. Primary Market Bulletin 46

    Newsletters Published: 19/12/2023 Last modified: 19/12/2023
    This edition covers Article 10 UK MAR and ESG stewardship  and TCFD-aligned disclosures: sponsor procedures.