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Showing 121 to 130 of 626 search results for Changes to the Senior Managers Regime.
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MiFID II: product governance review
In this MiFID II review we looked at product governance in a sample of 8 asset management firms. -
Leading the Way on Regulation
Speech delivered by Karina McTeague, Director of General Insurance and Conduct Specialists Supervision, at the British Insurance Brokers' Association (BIBA) Conference 2019. -
CASS compliance – the bigger picture
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. -
FCA publishes rules on how it will apply the new accountability regime to UK branches of overseas banks and Solvency II firms
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 -
Regulatory Sandbox
The Regulatory Sandbox allows firms to test innovative propositions in the market with real consumers. It’s open for applications at any point throughout the year. -
Independence, confidence and fairness
Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at Bloomberg, in the City of London, on 4 February 2016, London. This is the text of the speech as drafted, which may differ from the delivered version. -
CP14/25: Changes to the Approved Persons Regime for Solvency II firms
In this paper we identify the proposed changes to the Approved Persons Regime for Solvency II firms. ... This Consultation Paper proposes changes to the Approved Persons Regime for Solvency II firms to address:. -
CP15/42: Quarterly Consultation Paper No. 11
make consequential changes to various RDR forms as a result of the Senior Managers’ Regime. ... make consequential changes to the Handbook for Solvency II and non-Directive firms. -
Trust and ethics – a regulator’s perspective
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. -
Our Perimeter Report
Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products