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Showing 141 to 150 of 619 search results for under the Senior Managers Regime.

141. Trust and ethics – a regulator’s perspective

     Speeches Published: 16/10/2018 Last modified: 16/10/2018
     Speech by Andrew Bailey, Chief Executive of the FCA, delivered at the launch of the St Mary’s University School of Business and Society, London.

142. FCA to launch enhanced Financial Services Register

     Mortgage lenders and intermediaries News stories Published: 09/07/2020 Last modified: 13/07/2020
     The FCA will be replacing its existing Financial Services Register with an enhanced Financial Services Register. We will then add a directory of certified and assessed persons to the Register.

143. AI: Moving from fear to trust

     Speeches Published: 09/11/2022 Last modified: 20/03/2024
     Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at the City and Financial Global summit: Regulation and risk management of Artificial Intelligence in financial services.

144. Primary Market Bulletin 49

     Newsletters Published: 20/05/2024 Last modified: 31/05/2024
     This issue looks at Annual financial reporting, Long Term Incentive Plans (LTIPs) Global Depositary Receipts (GDRs) report  

145. CASS compliance – the bigger picture

     Speeches Published: 02/12/2014 Last modified: 19/12/2014
     Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version.

146. Conduct risk during LIBOR transition

     Firms Focus areas Markets Markets policy Published: 19/11/2019 Last modified: 09/01/2023
     Questions and answers for firms on conduct risk during LIBOR transition.

147. CP15/42: Quarterly Consultation Paper No. 11

     Consultation papers Published: 04/12/2015 Last modified: 17/12/2015
     make consequential changes to various RDR forms as a result of the Senior Managers’ Regime. ... add text to EG 7 to reflect the FCA’s ability to apply to the Court under section 89NA for a voting rights suspension order.

148. PS22/1: FCA authorisation application fees: new structure

     Policy statements Published: 10/01/2022 Last modified: 10/01/2022
     We are setting out the new structure for authorisation application fees that comes into effect from 24 January 2022.

149. Firms falling short of renewal expectations

     Multi-firm reviews Published: 18/10/2017 Last modified: 18/10/2017
     This page summarises how general insurance firms have implemented our transparency in insurance renewals which came into effect in April 2017.

150. FCA publishes rules on how it will apply the new accountability regime to UK branches of overseas banks and Solvency II firms

     Press Releases Published: 13/08/2015 Last modified: 19/04/2016
     The new accountability regime covers the Senior Managers Regime; the Certification Regime; and new Conduct Rules. ... While the Senior Managers Regime will ensure that senior managers can be held accountable for any misconduct that falls within their