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Showing 41 to 50 of 626 search results for Changes to the Senior Managers Regime.
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Vote Reporting Group
Find out how the group aims to improve shareholder vote reporting by UK asset managers. -
Conduct risk in FX markets
Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe. -
PS16/6: Consequential Changes to the Senior Managers Regime [pdf]
In this Policy Statement we report on the main issues arising from Consultation Paper 16/1 Consequential Changes to the Senior Managers Regime and publish the final rules. -
CP16/1: Consequential changes to the Senior Managers Regime [pdf]
This Consultation Paper (CP) sets out how we intend to implement the consequential changes to rules and forms that will be required prior to commencement of the regime. It also examines the impact that we believe they will have upon the industry and -
Fair and effective markets review
The recommendations seek to embed accountability with front-line staff for their actions and to make senior managers properly responsible for their role in controlling their businesses and managing their staff. ... First, the Senior Managers and -
Examining the future of anti-money laundering regulations
Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015 -
What can the consumer credit sector expect from the FCA?
Speech by Jonathan Davidson, Executive Director of Supervision – Retail and Authorisations, at the Credit Summit, London. -
Rules that apply to firms in SRO and fund operators in the TMPR
We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR). -
About the FCA
The FCA regulates the conduct of nearly 45,000 businesses in the UK to ensure that financial markets work well. Find out more about our role. -
SM&CR categorisation for solo-regulated firms
Under SM&CR, solo-regulated firms are categorised as limited scope, core or enhanced. Find out which category your firm is in and how you can review this.