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Showing 1 to 10 of 829 search results for senior managers regime.

1. Information on investigations opened under the Senior Managers' Regime - June 2022

   FOI Release Date of Release: 22/06/2022
   The FCA provides information on investigations opened under the Senior Managers' Regime.

2. Tackling the hard questions

   Speeches Published: 28/04/2016 Last modified: 02/07/2024
   Speech by Mark Steward, director of enforcement and market oversight, at the Thomson Reuters Annual Compliance and Risk Summit 2016.

3. Statistics provided on the Senior managers' Regime - January 2020

   FOI Release Date of Release: 03/01/2020
   FCA Provides Statistics of Individuals under the scope of Senior Managers and Certification Regime.

4. PS16/6: Consequential Changes to the Senior Managers Regime

   Policy statements Published: 02/03/2016 Last modified: 26/05/2016
   PS16/6: Consequential Changes to the Senior Managers Regime. Policy statements First published:. ... In this Policy Statement we report on the main issues arising from Consultation Paper 16/1 Consequential Changes to the Senior Managers Regime and

5. Information on Senior Manager Regime applications - April 2022

   FOI Release Date of Release: 05/04/2022
   The FCA answers multiple questions on Senior Managers Regime applications.

6. Senior Managers and Certification Regime

   Tasks for regulated firms Published: 06/07/2015 Last modified: 06/02/2023
   The Senior Managers and Certification Regime (SM&CR) changed how people working in financial services are regulated. See how it applies to your firm.

7. Practical implications of US law on EU practice

   Speeches Published: 19/01/2017 Last modified: 20/01/2017
   Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe.

8. CP16/1: Consequential changes to the Senior Managers Regime

   Consultation papers Published: 06/01/2016 Last modified: 02/03/2016
   CP16/1: Consequential changes to the Senior Managers Regime. Consultation papers First published:. ... CP16/1: Consequential changes to the Senior Managers Regime.

9. The expanding scope of individual accountability for corporate misconduct

   Speeches Published: 03/04/2017 Last modified: 05/04/2017
   Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement

10. Benchmarks supervision

    Markets Published: 22/04/2016 Last modified: 14/12/2022
    Benchmark administrators and supervised contributors are overseen by the Benchmarks Supervision team. Learn more about notifications and providing information.