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Showing 181 to 190 of 625 search results for Changes to the Senior Managers Regime.
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Stress testing for human beings
Speech by Charles Randell, Chair of the FCA, delivered at the Gleneagles Pensions & Savings Symposium. -
Global regulation in the post-crisis era
Speech by John Griffith-Jones, Chairman, FCA, delivered at the TheCityUK Annual Conference on 30 June 2016. -
PS20/12: Extending implementation deadlines for the Certification Regime and Conduct Rules
This Policy Statement (PS) sets out our final rules and summarises the feedback received to Consultation Paper CP 20/10 and our responses. -
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 -
How to organise a COO
Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at the Armstrong Wolfe COO Summit 2023 -
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 -
Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation
The FCA will also examine the behaviour of asset managers, focusing both on how firms ensure that trading activity is consistent with expectations of market conduct and how asset managers are ... implementing the measures set out in the Financial -
Cryptoasset registration: information for applicants
The FCA's requirements and expectations of cryptoasset businesses for AML/CTF regime registration. -
FCA reminds firms to regularly review regulatory permissions
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. -
Agile regulation and planning for success
Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at CISI/The Financial Planning Conference 2022