Search results
Showing 511 to 520 of 619 search results for under the Senior Managers Regime.
-
Efficiency and effectiveness: our approach to primary markets
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at Bloomberg. -
Cryptoasset firms marketing to UK consumers must get ready for financial promotions regime
All cryptoasset firms marketing to UK consumers, including firms based overseas, will soon need to comply with the new UK financial promotions regime. -
Consumer investments data review 2020
A summary of the FCA's work to tackle consumer harm in the investment market, between 1 January and 31 October 2020. -
PS13/5 Implementation of the Alternative Investment Fund Managers Directive
We are setting out our rules for implementing the Alternative Investment Fund Managers Directive (AIFMD) and responding to the feedback to our consultation. -
Remuneration and performance management of sales staff (SYSC 19F)
FCA provides rules on staff incentives and the remuneration of sales staff and advisers. -
Supporting material for applications by consumer credit, mortgage and other consumer finance firms
If you're applying to be authorised by the FCA, find out what supporting material to include in your application and how to prepare everything. -
Financial conduct regulation in a restless world
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Deloitte conduct risk roadshow. -
Effectiveness and proportionality: our financial crime priorities
Speech by Rob Gruppetta, Head of the Financial Crime Department at the FCA, at our Financial Crime Conference. -
Annual Report 2015/16 and Competition Report 2013-16
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 -
CP15/22 Strengthening accountability in banking: Final rules (including feedback on CP14/31 and CP15/5) and consultation on extending the Certification Regime to wholesale market activities
In this paper we follow up on the feedback that we provided earlier this year in Consultation Paper 15/9: Strengthening accountability in banking: a new regulatory framework for individuals