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Showing 31 to 40 of 259 search results for Consequential Changes to the Senior Managers Regime.

  1. FCA sets out approach to Non-Executive Directors and the Senior Managers Regime

    Press Releases Published: 23/02/2015 Last modified: 23/02/2015
    FCA sets out approach to Non-Executive Directors and the Senior Managers Regime. ... Non-Executive Directors (NEDs) with specific responsibilities, such as Chairman, will come under the new Senior Managers Regime (SMR), the Financial Conduct Authority

  2. Approved Persons Regime

    Tasks for firms Published: 12/05/2015 Last modified: 27/04/2023
    Approved persons carry out certain activities on a firm's behalf and must be regulated by us. Learn about our requirements, conduct rules and 'fit and proper' test.

  3. Personal accountability

    Speeches Published: 02/12/2015 Last modified: 19/04/2016
    Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the City & Financial conference on Personal Accountability in the Financial Services Industry, 2 December 2015, London. This is the text of the speech as drafted, which may differ

  4. Firms

    Firms Last modified: 27/07/2022
    Tasks for regulated firms and authorisation information for new firms

  5. AIFMD updates

    Focus areas Published: 08/06/2016 Last modified: 05/07/2023
    There are several updates the FCA has published on Alternative Investment Fund Managers Regulations. Find out about the FCA's updated guides and forms.

  6. Benchmarks supervision

    Markets Published: 22/04/2016 Last modified: 14/12/2022
    Benchmark administrators and supervised contributors are overseen by the Benchmarks Supervision team. Learn more about notifications and providing information.

  7. FCA introduces new rules on whistleblowing

    Press Releases Published: 06/10/2015 Last modified: 19/04/2016
    The Accountability Regime in relevant authorised persons. The Senior Managers Regime focuses on individuals who hold key roles and responsibilities in relevant firms. ... Individuals subject to either the Senior Managers Regime or the Certification

  8. Transparency

    How we operate Published: 06/04/2016 Last modified: 20/12/2021
    The FCA sets out to be as open and accountable as possible, so it can be scrutinised by consumers, firms and Parliament. To do this the FCA publishes information about regulated firms and individuals, or it requires firms and individuals to do so.

  9. Practical implications of US law on EU practice

    Speeches Published: 19/01/2017 Last modified: 20/01/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe.

  10. The expanding scope of individual accountability for corporate misconduct

    Speeches Published: 03/04/2017 Last modified: 05/04/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement