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Showing 62 to 71 of 219 search results for Enforcement investigations and the Senior Managers Regime.
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Should you invest?
Get your immediate finances in order before you invest. Pay off any short-term debt, have an emergency cash fund and consider investing more in your pension. -
Information on HBOS senior managers - November 2022
FCA provides information on HBOS senior Managers (FCA cost of Investigation and Correspondence with Nikhil Rathi). -
Information on investigations into breaches of COCON - May 2022
The FCA provides data on how many investigations into breaches of COCON it has opened since the inception of the Conduct Rules under SMCR. -
PS18/16: The Duty of Responsibility for insurers and FCA solo-regulated firms
Under the Duty of Responsibility, we can take enforcement action against Senior Managers if:. ... We have also published Guides to the Senior Managers and Certification Regime for firms. -
Investigation opening criteria
Factors the FCA considers when deciding to open an investigation, including how it detects and assesses serious misconduct -
Guidance on the duty of responsibility: PS17/9
In this Policy Statement, we set out guidance in the Decision Procedure and Penalties Manual (DEPP) on how we will enforce the ‘duty of responsibility’. -
Benchmarks supervision
Benchmark administrators and supervised contributors are overseen by the Benchmarks Supervision team. Learn more about notifications and providing information. -
Investigation opening criteria
Factors we consider when deciding to open an investigation, including how we assess serious misconduct. -
Accountability, from debate to reality
Speech by Martin Wheatley, CEO of the Financial Conduct Authority, delivered at the City & Financial conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Recognised industry codes
Read about our process for recognising industry codes of conduct, which we describe as 'FCA-recognised industry codes'. -
Transparency
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.