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Showing 71 to 80 of 239 search results for Senior Managers Regime and publish the final.
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Overall responsibility and the legal function: DP16/4
In September 2016, we launched Discussion Paper DP16/4 to clarify how and why the legal function is currently captured under the Senior Managers and Certification Regime (SM&CR) and to consider whether it should continue to be part of the regime. -
Financial Stability Board publishes Peer Review of UK remuneration regime
A joint statement with the PRA welcoming the Financial Stability Board’s (FSB) Peer Review of the UK’s compensation regime. -
The expanding scope of individual accountability for corporate misconduct
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement -
FCA proposes new Directory of financial services workers
The Financial Conduct Authority (FCA) has today proposed a new Directory to help consumers and firms check the status and history of individuals working in financial services. -
CP17/41: Individual accountability: Transitioning insurers and individuals to the Senior Managers & Certification Regime
CP17/41: Individual accountability: Transitioning insurers and individuals to the Senior Managers & Certification Regime. ... 10/12/2018. 10/12/2018. Consultation papers First published:. 13/12/2017. Last updated: 22/02/2018. The Senior Managers and -
Nothing to fear from high standards
Speech by Martin Wheatley, Chief Executive of the FCA, delivered at Bloomberg. This is the text of the speech as drafted, which may differ from the delivered version. -
Practical implications of US law on EU practice
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe. -
Benchmarks supervision
Benchmark administrators and supervised contributors are overseen by the Benchmarks Supervision team. Learn more about notifications and providing information. -
CP17/40: Individual accountability: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime
CP17/40: Individual accountability: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime. ... deposit takers; the Senior Managers and Certification Regime is already in place for these firms. -
FCA publishes Annual Report for 2014/15
FCA publishes Annual Report for 2014/15. Press Releases First published:. 02/07/2015. ... implementing the new Senior Managers Regime. our market studies, including cash savings, retirement income and review of competition in the wholesale sector.