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Showing 81 to 90 of 539 search results for Senior Managers Regime for banks.
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Shaping the future in asset management
Keynote speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Asset Management Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Regimes for EEA firms and investment funds that passported into the UK
EEA-based firms and investment funds can no longer passport into the UK. Find out about the regimes that help those firms operate or wind down their business. -
CP15/10: Strengthening accountability in banking: UK branches of foreign banks
The regime is comprised of a Senior Managers Regime, Certification Regime and Conduct Rules, and aims to encourage individuals to take greater responsibility for their actions and make it easier for ... PRA CP7/15 / FCA CP15/5 on Approach to -
Onshoring updates to our Handbook and Technical Standards
We explain how we’ve prepared our Handbook and Technical Standards for the end of the transition period. -
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. -
Promoting competitiveness is a juggling act
Speech by Sarah Pritchard, Executive Director, Markets and Executive Director, International at TheCityUK International Conference 2024. -
Whistleblowing in UK branches of foreign banks: PS17/7
This Policy Statement introduces our final rules on whistleblowing requirements for UK branches of foreign banks. It does not apply to UK branches of overseas insurers. -
The FCA’s role in preparing for Brexit
Further to the announcement from the Treasury on its approach to amending financial services legislation under the European Union (Withdrawal) Act, this statement provides stakeholders with an update on how we are preparing for the UK leaving the -
Rolling regulation forwards
Speech by Nikhil Rathi, FCA Chief Executive delivered at the UK Finance annual dinner. -
FCA publishes final rules to make those in the banking sector more accountable
The final rules cover the Senior Managers Regime; the Certification Regime; and new Conduct Rules. ... In particular:. The Senior Managers Regime focuses on individuals who hold key roles and responsibilities in relevant firms.