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Showing 41 to 50 of 74 search results for Senior Managers Regime to benchmark administrators.

  1. Fair and effective markets review

    Speeches Published: 14/07/2015 Last modified: 23/10/2015
    The recommendations seek to embed accountability with front-line staff for their actions and to make senior managers properly responsible for their role in controlling their businesses and managing their staff. ... First, the Senior Managers and
  2. Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation

    Press Releases Published: 31/03/2014 Last modified: 01/04/2014
    We are determined that firms need to take the matter of manipulation of any benchmark seriously and will be working with firms to seek out any issues that may remain.’. ... implementing the measures set out in the Financial Services Act 2013 including
  3. 2014 Disclosure Log

    Last modified: 30/01/2020
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2014. 
  4. FCA publishes final rules to make those in the banking sector more accountable

    Press Releases Published: 07/07/2015 Last modified: 19/04/2016
    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.
  5. Regulation round-up April 2018

    Newsletters Published: 19/04/2018 Last modified: 19/04/2018
    Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.
  6. Conduct risk during LIBOR transition

    Firms Focus areas Markets Markets policy Published: 19/11/2019 Last modified: 05/03/2021
    Questions and answers for firms on conduct risk during LIBOR transition.
  7. Confidence to crisis and back

    Speeches Published: 17/06/2015 Last modified: 17/06/2015
    Speech by Martin Wheatley, CEO of the Financial Conduct Authority, delivered at the IOSCO conference in London. This is the text of the speech as drafted, which may differ from the delivered version.
  8. FCA confirms accountability rules for wholesale traders and interim rules on regulatory references

    Press Releases Published: 04/02/2016 Last modified: 19/04/2016
    The Senior Managers Regime will ensure that senior managers can be held accountable for any misconduct that falls within their areas of responsibilities, the new certification regime and conduct rules aim ... the Senior Managers Regime focuses on
  9. SM&CR categorisation for solo-regulated firms

    Tasks for regulated firms Published: 31/07/2019 Last modified: 27/01/2021
    Find out more about the different SM&CR categories for solo-regulated firms.
  10. Global regulation in the post-crisis era

    Speeches Published: 30/06/2016 Last modified: 01/07/2016
    Speech by John Griffith-Jones, Chairman, FCA, delivered at the TheCityUK Annual Conference on 30 June 2016.