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Showing 81 to 90 of 625 search results for Changes to the Senior Managers Regime.

81. 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.

82. 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.

83. The supervision of sponsors

    Markets Published: 04/05/2016 Last modified: 13/06/2022
    Our supervision of sponsors is distinct from our supervision of authorised firms. We focus on ensuring sponsors fulfil their responsibilities under the listing regime.

84. Information on nonfinancial misconduct and SMCR investigations - June 2022

    FOI Release Date of Release: 14/06/2022
    The FCA provides data on nonfinancial misconduct and SMCR investigations.

85. Dealing commission

    Speeches Published: 10/07/2014 Last modified: 10/07/2014
    Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA conference on dealing commission in London. This is the text of the speech as drafted, which may differ from the delivered version.

86. Side pockets

    Consumers Your rights Published: 08/09/2022 Last modified: 20/03/2023
    Side pockets could affect anyone who invests in funds that are exposed to Russian assets. Find out more about how side pockets work and what investors can expect.

87. Onshoring updates to our Handbook and Technical Standards

    Last modified: 26/05/2022
    We explain how we’ve prepared our Handbook and Technical Standards for the end of the transition period.

88. RCB key documents

    Published: 13/05/2016 Last modified: 27/03/2024
    Find our key documents and useful information if the regulated covered bonds regime applies to your firm.

89. Looking ahead to 2014

    Speeches Published: 09/12/2013 Last modified: 09/12/2013
    Speech by Martin Wheatley, Chief Executive of the FCA, at the ICI Global Trading and Market Structure Conference. This is the text of the speech as drafted, which may differ from the delivered version.

90. 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