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Showing 181 to 190 of 619 search results for under the Senior Managers Regime.

181. Apply to become a pre-paid funeral plans firm

     Firms Published: 11/06/2021 Last modified: 04/12/2023
     If you’re a new funeral plan provider or intermediary, find out when you need to apply to the FCA for authorisation and how to apply.

182. Where next for investment and asset management regulation?

     Speeches Published: 28/09/2017 Last modified: 02/10/2017
     Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017.

183. Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation

     Press Releases Published: 31/03/2014 Last modified: 01/04/2014
     implementing the measures set out in the Financial Services Act 2013 including establishing Senior Managers and Certified Persons Regime to increase accountability to senior individuals. ... extensive engagement with Europe on important Directives under

184. Assessing the value of financial advice

     Speeches Published: 04/12/2017 Last modified: 11/04/2018
     Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to The Personal Investment Management and Financial Advice Association (PIMFA) in London.

185. FCA reminds firms to regularly review regulatory permissions

     Statements Published: 18/01/2021 Last modified: 18/01/2021
     We are reminding firms of their obligation to regularly review regulatory permissions to ensure they are up to date and removed where they are not needed.

186. PS16/3: Strengthening accountability in banking: Feedback on CP15/22 and CP15/31; final rules on extending the certification regime to wholesale market activities and interim rules on referencing

     Policy statements Published: 04/02/2016 Last modified: 26/05/2016
     As well as ensuring that, in future, senior managers can be held accountable for any misconduct that falls within their area of responsibility, our regime aims to hold individuals working at ... If your firm is affected by the Senior Managers and

187. CP14/25: Changes to the Approved Persons Regime for Solvency II firms

     Consultation papers Published: 26/11/2014 Last modified: 30/09/2016
     This Consultation Paper proposes changes to the Approved Persons Regime for Solvency II firms to address:. ... the PRA’s proposed reforms to the scope of its pre-approval regime.

188. Enhancing the UK’s capital markets – The FCA’s role and priorities

     Speeches Published: 08/02/2022 Last modified: 08/02/2022
     Speech by Sarah Pritchard, Executive Director, Markets, to City & Financial Global’s The Future of UK Financial Regulation Summit.

189. The hallmarks of a future-fit workforce

     Speeches Published: 05/03/2024 Last modified: 05/03/2024
     Speech by Emily Shepperd, Chief Operating Officer and Executive Director of Authorisations at TheCityUK and Financial Services Skills Commission Future Skills Conference.

190. Keeping up with the credit sector: the FCA’s view on the market today

     Speeches Published: 30/03/2017 Last modified: 30/03/2017
     Speech by Jonathan Davidson, Director of Supervision – retail and authorisations at the FCA, at Credit Summit in London.