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Showing 131 to 140 of 829 search results for senior managers regime.

131. Operational Resilience

     Tasks for firms Published: 17/05/2017 Last modified: 04/03/2024
     We set out the requirements of our policy and how to report an operational disruption.

132. Culture and conduct - extending the accountability regime

     Speeches Published: 20/09/2017 Last modified: 20/09/2017
     Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at City and Financial Summit, London.

133. Wholesale Conduct Risk

     Speeches Published: 24/07/2015 Last modified: 24/07/2015
     The Senior Managers Regime, final rules for which were published last week, should reintroduce and reinforce professional accountability to the industry. ... One thing that the introduction of the Senior Managers Regime will do is hard-wire

134. Dealing commission

     Speeches Published: 10/07/2014 Last modified: 10/07/2014
     Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA conference on dealing commission in London. This is the text of the speech as drafted, which may differ from the delivered version.

135. Side pockets

     Consumers Your rights Published: 08/09/2022 Last modified: 20/03/2023
     Side pockets could affect anyone who invests in funds that are exposed to Russian assets. Find out more about how side pockets work and what investors can expect.

136. Confidence to crisis and back

     Speeches Published: 17/06/2015 Last modified: 17/06/2015
     Speech by Martin Wheatley, CEO of the Financial Conduct Authority, delivered at the IOSCO conference in London. This is the text of the speech as drafted, which may differ from the delivered version.

137. Statement: Strengthening Accountability in Banking

     Statements Published: 03/03/2015 Last modified: 08/09/2016
     new Senior Managers and Certification Regime (SM&CR) will be 7 March 2016 and that transitional documentation will need to be submitted to the regulators by 8 February 2016. ... the accountability of bank senior management and to raise standards of

138. Regulating the funeral plans sector

     Firms Published: 05/02/2021 Last modified: 04/12/2023
     The FCA regulates pre-paid funeral plans, which means any funeral plan provider or intermediary must be authorised. Find out what this means for your firm.

139. 2019 Disclosure Log

     Last modified: 20/03/2024
     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 2019. 

140. Strengthening Accountability in Banking: Senior Managers & Certification Regime slides [pdf]

     Documents Published: 06/10/2015 Last modified: 03/08/2016
     These slides provide additional information for firms on the regime. They summarise existing information and do not represent formal FCA Guidance.