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Showing 41 to 50 of 539 search results for Senior Managers Regime for banks.

41. FS16/6: Senior Managers and Certification Regime: Feedback for all UK banks, investment firms and building societies [pdf]

    Feedback statements Published: 28/09/2016
    We are reporting the findings of our in-depth supervisory review of the Statements of Responsibilities (SoRs) and responsibilities maps supplied with grandfathering notifications for firms.

42. FS16/7: Senior Managers and Certification Regime: Feedback for branches of banks from outside the European Economic Area [pdf]

    Feedback statements Published: 28/09/2016 Last modified: 28/09/2016
    We are reporting the findings of our in-depth supervisory review of the Statements of Responsibilities (SoRs) and responsibilities maps supplied with grandfathering notifications for firms.

43. FS16/8: Senior Managers and Certification Regime: Feedback for branches of banks from within the European Economic Area [pdf]

    Feedback statements Published: 28/09/2016
    We are reporting the findings of our in-depth supervisory review of the Statements of Responsibilities (SoRs) and responsibilities maps supplied with grandfathering notifications for firms.

44. Nothing to fear from high standards

    Speeches Published: 16/03/2015 Last modified: 03/11/2016
    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.

45. Transforming culture in financial services

    Speeches Published: 19/03/2018 Last modified: 19/03/2018
    Speech by Andrew Bailey, Chief Executive of the FCA, at the Transforming culture in financial services conference.

46. PS16/3: Strengthening accountability in banking: Feedback on CP15/22 and CP15/31; rules on extending the certification regime to wholesale market activities and interim rules on referencing [pdf]

    Policy statements Published: 04/02/2016 Last modified: 04/02/2016
    In this policy statement we set out final rules for the new accountability framework for individuals working in banks, building societies and credit unions who perform certain wholesale market activities.

47. Accountability, from debate to reality

    Speeches Published: 14/07/2015 Last modified: 19/04/2016
    Speech by Martin Wheatley, CEO of the Financial Conduct Authority, delivered at the City & Financial conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

48. Information on enforcement investigations into senior managers - May 2022

    FOI Release Date of Release: 27/05/2022
    The FCA answers questions multiple questions on enforcement investigations into senior managers.

49. Guidance on the duty of responsibility: PS17/9

    Policy statements Published: 28/09/2016 Last modified: 03/05/2017
    In this Policy Statement, we set out guidance in the Decision Procedure and Penalties Manual (DEPP) on how we will enforce the ‘duty of responsibility’.

50. Firms

    Firms Last modified: 27/07/2022
    Tasks for regulated firms and authorisation information for new firms