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Showing 101 to 110 of 829 search results for senior managers regime.
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Guidance on the duty of responsibility: PS17/9
In this Policy Statement, we set out guidance in the Decision Procedure and Penalties Manual (DEPP) on how we will enforce the ‘duty of responsibility’. -
Recognised industry codes
Read about our process for recognising industry codes of conduct, which we describe as 'FCA-recognised industry codes'. -
FCA confirms accountability rules for wholesale traders and interim rules on regulatory references
The Senior Managers Regime will ensure that senior managers can be held accountable for any misconduct that falls within their areas of responsibilities, the new certification regime and conduct rules aim ... the Senior Managers Regime focuses on -
Open-ended funds investing in less liquid assets
Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy, to Investment Association members. -
PS19/20: Optimising the Senior Managers & Certification Regime and feedback to CP19/4 [pdf]
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PS19/9: Applying the Senior Managers and Certification Regime to Claims Management Companies [pdf]
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CP19/4: Optimising the Senior Managers & Certification Regime and feedback to DP16/4 – Overall responsibility and the legal function [pdf]
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GC18/4: Senior Managers and Certification Regime: Proposed guidance on statements of responsibilities and responsibilities maps for FCA firms [pdf]
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PS18/14: Extending the Senior Managers & Certification Regime to FCA firms - Feedback to CP17/25 and CP17/40, and near-final rules [pdf]
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PS18/15: Extending the Senior Managers & Certification Regime to insurers - Feedback to CP17/26 and CP17/41 and near-final rules [pdf]