Search results
Showing 61 to 70 of 480 search results for principles of the Senior Managers Regime.
-
The FCA’s role in preparing for Brexit
Further to the announcement from the Treasury on its approach to amending financial services legislation under the European Union (Withdrawal) Act, this statement provides stakeholders with an update on how we are preparing for the UK leaving the -
FCA confirms recognition of the FX Global and UK Money Markets Codes
Following consultation feedback, the Financial Conduct Authority (FCA) confirmed that it is recognising the following voluntary market codes of best practice under its codes recognition scheme: FX Global Code and UK Money Markets Code. -
CASS compliance – the bigger picture
Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version. -
Our emerging regulatory approach to Big Tech and Artificial Intelligence
Speech by Nikhil Rathi, our Chief Executive, delivered at The Economist, London. -
The Importance of Diversity
Speech by Andrew Bailey, Chief Executive of the FCA, at the PIMFA Wealth of Diversity Conference 2019. -
2016 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2016. -
MiFID II: product governance review
In this MiFID II review we looked at product governance in a sample of 8 asset management firms. -
Information on nonfinancial misconduct and SMCR investigations - June 2022
The FCA provides data on nonfinancial misconduct and SMCR investigations. -
About the FCA
The FCA regulates the conduct of nearly 45,000 businesses in the UK to ensure that financial markets work well. Find out more about our role. -
CP15/9: Strengthening accountability in banking: a new regulatory framework for individuals
To give firms as much time as possible to prepare for the changes, this paper provides a set of near-final rules on our new Senior Managers’ Regime, together with a ... apply it, and the steps that a Senior Manager should take in order to rebut the