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Showing 11 to 20 of 147 search results for Non-Executive Directors and the Senior Managers Regime.
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CP15/10: Strengthening accountability in banking: UK branches of foreign banks
The regime is comprised of a Senior Managers Regime, Certification Regime and Conduct Rules, and aims to encourage individuals to take greater responsibility for their actions and make it easier for ... PRA CP7/15 / FCA CP15/5 on Approach to -
FCA publishes Annual Report and Accounts 2017/18
The Financial Conduct Authority (FCA) has today published its Annual Report and Accounts, which looks back on the key pieces of work undertaken by the organisation throughout 2017/18. -
CMCs: how we will authorise and regulate firms
Claims management companies are subject to FCA regulation. Read about the standards and rules your firm will need to meet. -
CP15/22 Strengthening accountability in banking: Final rules (including feedback on CP14/31 and CP15/5) and consultation on extending the Certification Regime to wholesale market activities
In this paper we follow up on the feedback that we provided earlier this year in Consultation Paper 15/9: Strengthening accountability in banking: a new regulatory framework for individuals -
Remote or hybrid working: FCA expectations for firms
It's likely many firms will continue new ways of working. The FCA sets out expectations so they can meet regulatory responsibilities. -
Regulatory Decisions Committee (RDC)
The RDC helps to ensure that contested enforcement decisions are made fairly. Find out more about the process and who sits on the committee. -
SM&CR information related to general insurance and protection intermediary firms - June 2022
The FCA provides data on the Senior Managers and Certification Regime (SMCR), in respect of: general insurers and general insurance intermediaries. -
MiFID II: product governance review
In this MiFID II review we looked at product governance in a sample of 8 asset management firms. -
The Prudential Regulation Authority and The Financial Conduct Authority announce new rules on remuneration
Our rules will now mean that senior managers face clawback of bonuses for up to 10 years, if misconduct comes to light. ... Prohibiting variable pay for Non-Executive Directors. Making explicit that no variable pay including all discretionary payments -
Consumer Duty – information for firms
To help firms implement the Duty, we explain more on the areas of the Duty that we have been receiving firm queries on which are relevant for the wider market.