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Showing 321 to 330 of 482 search results for senior insurance managers regime.
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Culture in financial institutions: it’s everywhere and nowhere
Speech by Andrew Bailey, Chief Executive of the FCA, at the HKMA Annual Conference for Independent Non-Executive Directors. -
The future of LIBOR
Speech by Andrew Bailey, Chief Executive of the FCA, at Bloomberg London. -
Outsourcing and operational resilience
The FCA explains the implications for operational resilience for regulated firms using outsourcing and other third party service providers, and what it expects from them. -
How to organise a COO
Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at the Armstrong Wolfe COO Summit 2023 -
Asset management market study
We have published the final findings of our asset management market study. As part of this, we set out a package of remedies to address the concerns identified. -
The number of enforcement cases against Senior Managers under SMCR - April 2020
The FCA provides information on the number of enforcement cases against Senior Managers. -
Learning the lessons of the past as an industry
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 -
Letter from the Chairman to the Chancellor on Senior Managers and Certificate Scheme: extension to foreign banks
1 Horse Guards Road. London. SW1A 2HQ. Thank you for your letter regarding the Senior Managers & Certificate Regime: extension to UK branches of foreign banks. ... expect, I welcome your intention to apply the Senior Managers & Certification Regime (“SM -
Conduct risk during LIBOR transition
Questions and answers for firms on conduct risk during LIBOR transition. -
MiFID II: product governance review
In this MiFID II review we looked at product governance in a sample of 8 asset management firms.