Search results
Showing 121 to 130 of 261 search results for Consequential Changes to the Senior Managers Regime.
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The business of social purpose
A speech by Jonathan Davidson, Executive Director of Supervision – Retail and Authorisations, on the business of social purpose. -
MiFID II: product governance review
In this MiFID II review we looked at product governance in a sample of 8 asset management firms. -
IFPR and eligibility for enhanced SM&CR status as a Significant SYSC firm
The FCA clarify the definition of ’Significant SYSC firm’ and eligibility for Enhanced Status under the SM&CR regime -
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. -
Outlining the FCA’s approach to authorisation
Speech by Sarah Rapson, Director, Authorisations at the Association of Professional Compliance Consultants (APCC) Annual Conference. -
Our approach to international firms
Find out what standards we expect from international firms providing financial services in the UK, or preparing to apply for full UK authorisation. -
Overview of the FCA prudential approach
Speech by Nausicaa Delfas, Director of Specialist Supervision at the FCA, delivered at the first FCA Prudential Supervision Forum. This is the text of the speech as drafted, which may differ from the delivered version. -
Pension scams
Don’t let a scammer enjoy your retirement. Find out how pension scams work, how to avoid them, and what to do if you suspect a scam. -
Submit a change in control notification
Find out how to prepare your notification and understand what happens after you submit it. -
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