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Showing 141 to 150 of 626 search results for Changes to the Senior Managers Regime.

141. How to organise a COO

     Speeches Published: 08/02/2023 Last modified: 08/02/2023
     Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at the Armstrong Wolfe COO Summit 2023

142. FCA launches enhanced Financial Services Register to protect consumers

     Press Releases Published: 27/07/2020 Last modified: 27/07/2020
     The FCA has today launched its updated Financial Services (FS) Register – including a simpler design and clearer language.

143. Realising the benefits of purposeful leadership

     Speeches Published: 01/11/2018 Last modified: 01/11/2018
     Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at the CCTA 2018 Conference, Nottingham.

144. CP15/9: Strengthening accountability in banking: a new regulatory framework for individuals

     Consultation papers Published: 16/03/2015 Last modified: 14/09/2015
     To give firms as much time as possible to prepare for the changes, this paper provides a set of near-final rules on our new Senior Managers’ Regime, together with a ... apply it, and the steps that a Senior Manager should take in order to rebut the

145. AI: Flipping the coin in financial services

     Speeches Published: 05/10/2023 Last modified: 05/10/2023
     Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at the City and Financial Global AI Regulation Summit 2023.

146. FCA publishes final rules to make those in the banking sector more accountable

     Press Releases Published: 07/07/2015 Last modified: 19/04/2016
     The final rules cover the Senior Managers Regime; the Certification Regime; and new Conduct Rules. ... In particular:. The Senior Managers Regime focuses on individuals who hold key roles and responsibilities in relevant firms.

147. Accomplishments of the last 5 years

     Speeches Published: 14/03/2018 Last modified: 14/03/2018
     Speech by John Griffith-Jones, Chairman, FCA, delivered at an event hosted by TheCityUK at Linklaters LLP, London.

148. Asset management market study

     Market studies Published: 18/11/2015 Last modified: 24/09/2018
     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.

149. Global regulation in the post-crisis era

     Speeches Published: 30/06/2016 Last modified: 01/07/2016
     Speech by John Griffith-Jones, Chairman, FCA, delivered at the TheCityUK Annual Conference on 30 June 2016.

150. MiFID II: product governance review

     Multi-firm reviews Published: 26/02/2021 Last modified: 15/04/2021
     In this MiFID II review we looked at product governance in a sample of 8 asset management firms.