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Showing 171 to 180 of 619 search results for under the Senior Managers Regime.
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International regulatory developments affecting investment management
Speech by Nikhil Rathi, FCA Chief Executive, delivered at the Investment Association Annual Conference 2024. -
The view from the regulator on Operational Resilience
Speech by Megan Butler, FCA Executive Director of Supervision: Investment, Wholesale and Specialist, delivered on 5 December 2019 at 13.30 -
Highlights of the FCA’s new approach in 2021
Our mission is to protect consumers from harm, enhance the integrity of the UK’s financial system and promote competition. We are continuing to pursue these objectives while also working to become a more innovative, adaptive and assertive regulator -
Service standards 2018/19
The FCA measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2018/19. -
The Prudential Regulation Authority and The Financial Conduct Authority announce new rules on remuneration
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 -
Cryptoasset registration: information for applicants
The FCA's requirements and expectations of cryptoasset businesses for AML/CTF regime registration. -
Cyber and technology resilience in UK financial services
Speech by Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA, delivered at Bloomberg, London. -
Investor protection in the UK: New tools, new challenges
Speech by Maggie Craig, Acting Head of Savings and Investments, at the FCA MiFID II Conference 2014. This is the text of the speech as drafted, which may differ from the delivered version. -
Learning the lessons of the past as an industry
That is not a challenge that will disappear, even taking into account the criminal sanction for recklessness in the Banking Reform Act and the presumption of responsibility for senior managers that ... Importantly, the new senior managers regime for -
Partly contested cases, the pipeline and AML investigations
FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.