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Showing 11 to 20 of 438 search results for Senior Managers Regime will ensure that senior.
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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. -
FCA extends the Senior Managers and Certification Regime to 47,000 firms
FCA extends the Senior Managers and Certification Regime to 47,000 firms -
FCA introduces new rules on whistleblowing
The Accountability Regime in relevant authorised persons. The Senior Managers Regime focuses on individuals who hold key roles and responsibilities in relevant firms. ... Individuals subject to either the Senior Managers Regime or the Certification -
Extension of the Senior Managers & Certification Regime (SM&CR) implementation periods for solo-regulated firms
The deadline for solo-regulated firms to have undertaken the first assessment of the fitness and propriety of their Certified Persons has been delayed from 9 December 2020 until 31 March 2021. -
Approved Persons Regime
Approved persons carry out certain activities on a firm's behalf and must be regulated by us. Learn about our requirements, conduct rules and 'fit and proper' test. -
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. -
CP16/1: Consequential changes to the Senior Managers Regime
CP16/1: Consequential changes to the Senior Managers Regime. Consultation papers First published:. ... CP16/1: Consequential changes to the Senior Managers Regime. -
CP15/37: Consequential amendments to the Senior Insurance Managers Regime (SIMR)
CP15/37: Consequential amendments to the Senior Insurance Managers Regime (SIMR). Consultation papers First published:. ... PRA: Consequential amendments to the Senior Managers Regime (SMR) and the Senior Insurance Managers Regime (SIMR). -
FCA sets out approach to Non-Executive Directors and the Senior Managers Regime
Non-Executive Directors (NEDs) with specific responsibilities, such as Chairman, will come under the new Senior Managers Regime (SMR), the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) confirmed today. ... The individuals -
Personal accountability
Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the City & Financial conference on Personal Accountability in the Financial Services Industry, 2 December 2015, London. This is the text of the speech as drafted, which may differ