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Showing 61 to 70 of 539 search results for Senior Managers Regime for banks.

  1. Data on enforcement investigations, including into senior managers - June 2022

    FOI Release Date of Release: 06/06/2022
    The FCA answers mutiple questions regarding enforcement investigations, including into Senior Managers.

  2. Statement: Strengthening Accountability in Banking

    Statements Published: 03/03/2015 Last modified: 08/09/2016
    new Senior Managers and Certification Regime (SM&CR) will be 7 March 2016 and that transitional documentation will need to be submitted to the regulators by 8 February 2016. ... the accountability of bank senior management and to raise standards of

  3. Information on enforcement investigations under SMR - June 2022

    FOI Release Date of Release: 06/06/2022
    The FCA answers multiple questions on enforcement investigations under the Senior Managers and Certification Regime.

  4. Information on enforcement investigations into Senior Managers - May 2022

    FOI Release Date of Release: 26/05/2022
    The FCA responds to multiple questions on enforcement investigations into Senior Managers.

  5. PS18/16: The Duty of Responsibility for insurers and FCA solo-regulated firms

    Policy statements Published: 13/12/2017 Last modified: 04/07/2018
    Firms should read the Policy Statement alongside the rules for how we will extend the Senior Managers and Certification Regime. ... We have also published Guides to the Senior Managers and Certification Regime for firms.

  6. Applying conduct rules to all non-executive directors in the banking and insurance sectors: PS17/8

    Policy statements Published: 28/09/2016 Last modified: 03/05/2017
    This Policy Statement (PS) introduces final rules to extend our Code of Conduct sourcebook (COCON) to standard non-executive directors (NEDs) in banks, building societies, credit unions and dual-regulated investment firms (‘banks’) and insurance

  7. FCA proposes new measures to maintain firms’ focus on culture

    Press Releases Published: 28/09/2016 Last modified: 28/09/2016
    The Financial Conduct Authority (FCA) will mark six months since the implementation of the Senior Managers’ and Certification Regime by providing feedback on implementation so far and proposing measures to further strengthen the regime. The

  8. Best of British Conference

    Speeches Published: 14/11/2014 Last modified: 30/01/2015
    Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the Best of British Conference hosted by JP Morgan, London. This is the text of the speech as drafted, which may differ

  9. Rolling regulation forwards

    Speeches Published: 16/11/2022 Last modified: 16/11/2022
    Speech by Nikhil Rathi, FCA Chief Executive delivered at the UK Finance annual dinner.

  10. Side pockets

    Consumers Your rights Published: 08/09/2022 Last modified: 20/03/2023
    Side pockets could affect anyone who invests in funds that are exposed to Russian assets. Find out more about how side pockets work and what investors can expect.