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Showing 321 to 330 of 829 search results for senior managers regime.

321. Improving the Appointed Representatives regime through greater use of data

     Data Published: 28/09/2023 Last modified: 03/10/2023
     This publication includes data from the FCA's 2021 and 2022 data requests sent to principal firms and authorisation information collected from firms. It also outlines how the FCA is improving the Appointed Representatives’ Regime (AR) regime and

322. The Prudential Regulation Authority and The Financial Conduct Authority announce new rules on remuneration

     Press Releases Published: 23/06/2015 Last modified: 23/06/2015
     Our rules will now mean that senior managers face clawback of bonuses for up to 10 years, if misconduct comes to light. ... The primary changes are:. Extending deferral (the period during which variable remuneration is withheld following the end of the

323. FCA publishes discussion paper on transforming culture in financial services

     Press Releases Published: 12/03/2018 Last modified: 12/03/2018
     The Financial Conduct Authority (FCA) has today published a discussion paper on transforming culture in financial services which presents views from academics and industry thought leaders. The paper is intended to provide a basis for stimulating

324. Transforming to a forward-looking, proactive regulator

     Speeches Published: 15/07/2021 Last modified: 15/07/2021
     Speech by our CEO, Nikhil Rathi, delivered at the FCA’s Our Role and Business Plan webinar.

325. Consumer Investments: Strategy and Feedback Statement

     Corporate documents Published: 14/09/2021 Last modified: 15/06/2023
     The FCA sets out its view of consumer harm in this market and its 3-year strategy to address this. 

326. Consumer Duty implementation plans

     Focus areas Multi-firm reviews Published: 25/01/2023 Last modified: 25/01/2023
     The Consumer Duty will set higher and clearer standards of consumer protection across financial services and require firms to act to deliver good outcomes for customers. The FCA sets out here the findings from their review of firms’ plans to embed

327. Annual Report 2015/16 and Competition Report 2013-16

     Corporate documents Published: 12/07/2016 Last modified: 07/12/2016
     The Annual Report provides an overview of our work:. implementing the Senior Managers and Certification Regime, which seeks to deliver a step change in individual accountability. ... taking tough action on past transgressions, issuing penalties totalling

328. Leaning in on making consumer tech a force for good

     Speeches Published: 23/01/2024 Last modified: 26/01/2024
     Speech by Nikhil Rathi delivered at the Imperial College London Business School.

329. Cultural evolution: how culture must change to meet expectations

     Speeches Published: 26/06/2023 Last modified: 26/06/2023
     Speech by Emily Shepperd, Chief Operating Officer and Executive Director of Authorisations, delivered online at the Westminster Business Forum.

330. FS19/3: Recognition of codes: feedback on QCP 23 18/39

     Feedback statements Published: 26/06/2019 Last modified: 26/06/2019
     We summarise responses received to QCP 18/39 on the recognition of industry codes of conduct and outline our next steps.