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Showing 221 to 230 of 829 search results for senior managers regime.

221. Strengthening accountability in banking and insurance: regulatory references final rules: PS16/22

     Policy statements Published: 28/09/2016 Last modified: 24/02/2017
     We are publishing our final rules on regulatory references. 

222. Information on FCA's recent investigation into NatWest - December 2021

     FOI Release Date of Release: 24/12/2021
     The FCA responds to questions regarding its investigation into NatWest for breaches of the Money Laundering Regulations 2007.

223. Our Perimeter Report

     Annual reports Published: 20/07/2022 Last modified: 05/04/2024
     Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products

224. FCA statement on Assessing Suitability Review 2

     Statements Published: 21/01/2020 Last modified: 31/08/2023
     FCA statement on Assessing Suitability Review 2

225. FCA publishes final report in relation to RBS GRG

     Press Releases Published: 13/06/2019 Last modified: 13/06/2019
     The Financial Conduct Authority (FCA) has today published the final report on its investigation in to Royal Bank of Scotland’s (RBS) treatment of small and medium-sized enterprise (SME) customers transferred to its Global Restructuring Group (GRG).

226. PS15/29: Strengthening accountability in banking: Final amendments to the Decision Procedure and Penalties Manual and the Enforcement Guide

     Policy statements Published: 09/12/2015 Last modified: 26/05/2016
     new accountability regime (including the Senior Managers Regime and the Certification Regime), and use the new powers created by the Financial Services (Banking Reform) Act 2013 (the Banking Reform Act). ... Individuals subject to either the Senior

227. Our Annual Report and Accounts 2016/17

     Corporate documents Annual reports Published: 05/07/2017 Last modified: 20/10/2017
     Our Annual Report and Accounts shows how our work over the last year has met our objectives and delivered against the key priorities we set out in our Business Plan 2016/17.

228. Partly contested cases, the pipeline and AML investigations

     Speeches Published: 04/04/2019 Last modified: 04/04/2019
     FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.

229. Overview of the FCA prudential approach

     Speeches Published: 21/05/2015 Last modified: 21/05/2015
     Speech by Nausicaa Delfas, Director of Specialist Supervision at the FCA, delivered at the first FCA Prudential Supervision Forum. This is the text of the speech as drafted, which may differ from the delivered version.

230. PS19/7: Finalising the Directory

     Policy statements Published: 08/03/2019 Last modified: 08/03/2019
     This Policy Statement sets out the final rules on the Directory, a new public register for checking the details of key individuals working in the financial services. It also summarises the feedback we received to Consultation Paper CP18/19 and our