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Showing 21 to 30 of 239 search results for Senior Managers Regime and publish the final.
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PS15/30: Strengthening accountability in banking: UK branches of foreign banks (final rules)
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 -
Our Annual Report and Accounts 2016/17
Our Annual Report and Accounts shows how our work over the last year has met our objectives and delivered against the key priorities we set out in our Business Plan 2016/17. -
PS16/3: Strengthening accountability in banking: Feedback on CP15/22 and CP15/31; final rules on extending the certification regime to wholesale market activities and interim rules on referencing
As well as ensuring that, in future, senior managers can be held accountable for any misconduct that falls within their area of responsibility, our regime aims to hold individuals working at ... If your firm is affected by the Senior Managers and -
Promoting competitiveness is a juggling act
Speech by Sarah Pritchard, Executive Director, Markets and Executive Director, International at TheCityUK International Conference 2024. -
PS18/18: Industry Codes of Conduct and Discussion Paper on FCA principle 5
In this Policy Statement we respond to feedback arising from CP17/37 and publish handbook guidance regarding the FCA’s recognition of industry codes of conduct. Code authors will be able to seek recognition from 18 July 2018 when these this -
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. -
Vote Reporting Group
Find out how the group aims to improve shareholder vote reporting by UK asset managers. -
Asset management market study
We have published the final findings of our asset management market study. As part of this, we set out a package of remedies to address the concerns identified. -
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
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 ... In this Policy Statement we report on the main issues arising from the -
Climate change and sustainable finance
The FCA's work on climate change and other environmental, social and governance (ESG) issues.