Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 61 to 70 of 90 search results for FCA consults on how to extend the Senior Managers Regime.

  1. PS15/30: Strengthening accountability in banking: UK branches of foreign banks (final rules)

    Policy statements Published: 16/12/2015 Last modified: 26/05/2016
    The Feedback Statement included near-final rules for the Senior Managers Regime, Certification Regime and Conduct Rules for incoming branches. ... We were unable to publish final rules as we had to wait for HM Treasury legislation that formally extends

  2. MiFID II: The future of European trading in the balance

    Speeches Published: 19/09/2014 Last modified: 01/11/2016
    Speech by David Lawton, Director of Markets, at the FCA MiFID II Conference 2014. This is the text of the speech as drafted, which may differ from the delivered version.

  3. Wholesale Conduct Risk

    Speeches Published: 24/07/2015 Last modified: 24/07/2015
    The Senior Managers Regime, final rules for which were published last week, should reintroduce and reinforce professional accountability to the industry. ... One thing that the introduction of the Senior Managers Regime will do is hard-wire

  4. Green Horizon Summit: Rising to the Climate Challenge

    Speeches Published: 09/11/2020 Last modified: 12/11/2020
    Nikhil Rathi Speech, Green Horizon Summit: Rising to the Climate Challenge

  5. Outlining the FCA’s approach to authorisation

    Speeches Published: 15/03/2018 Last modified: 15/03/2018
    Speech by Sarah Rapson, Director, Authorisations at the Association of Professional Compliance Consultants (APCC) Annual Conference.

  6. Realising the benefits of purposeful leadership

    Speeches Published: 01/11/2018 Last modified: 01/11/2018
    Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at the CCTA 2018 Conference, Nottingham.

  7. PS15/24: Whistleblowing in deposit-takers, PRA-designated investment firms and insurers

    Policy statements Published: 06/10/2015 Last modified: 26/05/2016
    The requirement to assign responsibilities to a whistleblowers’ champion will take effect on the same date as the rest of the Senior Managers Regime, 7 March 2016. ... We will consult on applying these rules to UK branches of overseas banks.

  8. Primary Market Bulletin Issue No. 30

    Newsletters Published: 19/08/2020 Last modified: 21/08/2020
    In this special edition, we publish general news and information, including changes to our Knowledge Base.

  9. Regulation round-up June 2018

    Newsletters Published: 21/06/2018 Last modified: 21/06/2018
    Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.

  10. FS19/3: Recognition of codes: feedback on QCP 23 18/39

    Feedback statements Published: 26/06/2019 Last modified: 26/06/2019
    We summarise responses received to QCP 18/39 on the recognition of industry codes of conduct and outline our next steps.