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Showing 101 to 110 of 391 search results for Extending the Senior Managers Regime.
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Transcript - Senior Managers and Certification Regime July 2018 video [pdf]
Transcript of 2018 video covering the key components of the SM&CR. Video here https://www.fca.org.uk/firms/senior-managers-certification-regime/insurers -
Information on the number of individuals who currently come under the Senior Managers Regime - May 2020
FCA provides information on the number of individuals who currently come under the Senior Managers Regime. -
Information on number of enforcement investigations opened against individuals under the Senior Managers & Certification Regime - November 2020
FCA provides information on number of enforcement investigations opened against individuals under the Senior Managers & Certification Regime. -
Getting culture and conduct right - the role of the regulator
Speech by Jonathan Davidson, Director of Supervision – retail and authorisations at the FCA, delivered at the 2nd Annual Culture and Conduct Forum for the Financial Services Industry in London. -
Conduct risk in FX markets
Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe. -
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 -
Information on the number of Senior Managers Regime applications in 2019/20 broken down by title on application - June 2020
FCA provides information on the number of Senior Managers Regime applications in 2019/20 broken down by title. -
Information on enforcement investigations opened against individuals (SMR) - May 2022
The FCA provides data on enforcement investigations opened against individuals (SMR). -
Repeal and replacement of assimilated law
Documents on the repeal and replacement of provisions in the retained EU law.