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Showing 21 to 30 of 146 search results for Non-Executive Directors and the Senior Managers Regime.
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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 -
2019 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2019. -
PS15/21: Changes to the Approved Persons Regime for Solvency II firms: Final rules (including feedback on CP14/25, CP15/5 and CP15/16), and consequentials relating to CP15/22 on strengthening accountability in banking
The rules cover two main issues. Firstly reforms to the Approved Persons Regime for firms to whom the PRA have applied the Solvency II regime. ... Find out more about thesenior managers and certification regime. -
Speech: Culture in UK banking – regulatory priorities
Hence the main aim of our major initiative, the Senior Managers and Certification Regime or ‘SMCR’, is to drive cultural change. ... FCA’s Senior Managers Regime for financial firms. -
Consumer Duty implementation plans
The Consumer Duty will set higher and clearer standards of consumer protection across financial services and require firms to act to deliver good outcomes for customers. The FCA sets out here the findings from their review of firms’ plans to embed -
Promoting competitiveness is a juggling act
Speech by Sarah Pritchard, Executive Director, Markets and Executive Director, International at TheCityUK International Conference 2024. -
Wholesale markets firm applicants
If you're a wholesale investment firm, you have to be authorised by us. Learn how to prepare your application and what you need to read first. -
Climate change and sustainable finance
The FCA's work on climate change and other environmental, social and governance (ESG) issues. -
SM&CR: Form K user guide for Core Firms with a CF2 who require a non-executive chair (SMF9) [pdf]
Form K is the conversion notification form. It enables firms to tell us which approved individuals they wish to convert from the Approved Persons Regime (APR) to corresponding Senior Management Functions (SMFs) under the Senior Managers & -
Tackling the hard questions
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Thomson Reuters Annual Compliance & Risk Summit on 26 April 2016, in London. This is the text of the speech as drafted, which may differ from the