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Showing 151 to 160 of 619 search results for under the Senior Managers Regime.
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The future of LIBOR
Speech by Andrew Bailey, Chief Executive of the FCA, at Bloomberg London. -
Building better foundations in AI
Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at The Alan Turing Institute’s Framework for Responsible Adoption of Artificial Intelligence in the Financial Services Industry event. -
Asset management market study
We have published the final findings of our asset management market study. As part of this, we set out a package of remedies to address the concerns identified. -
Realising the benefits of purposeful leadership
Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at the CCTA 2018 Conference, Nottingham. -
Investor engagement in a changing regulatory landscape
Taking a brief step back, I know that one area that you will be familiar with is corporate access - payments by investment managers to brokers to arrange access to senior management ... Under ESMA’s final proposals, an investment manager can purchase -
Fast-growing firms (FGFs) multi-firm review
We summarise our findings and set out our expectations of FCA solo-regulated fast-growing firms to identify, assess and manage the risks arising from their activities. -
The rapidity of change
Speech by Tracey McDermott, Acting Chief Executive at the Financial Conduct Authority, to be delivered at the City Banquet - Mansion House this evening. This is the text of the speech as drafted, which may differ from the delivered version. -
Global regulation in the post-crisis era
Speech by John Griffith-Jones, Chairman, FCA, delivered at the TheCityUK Annual Conference on 30 June 2016. -
Creating and sustaining cultures of compliance: insights from psychology and beyond
This involves increasing the expected costs of non-compliance. The Senior Managers Regime, for example, aims to make the risks of wrongdoing more tangible by highlighting the individual’s personal area ... Another example relates to the Financial -
Operational resilience: insights and observations for firms
Make sure your firm is ready to comply with the FCA's operational resilience rules by 31 March 2025. Use our observations to help review your firm’s approach.