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Showing 51 to 60 of 438 search results for Senior Managers Regime will ensure that senior.
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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. -
Best of British Conference
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 -
Fair and effective markets review
First, the Senior Managers and Certification Regime. The parliamentary commission I referred to earlier recommended the creation of a new regime to ensure greater accountability of senior staff at Banks, Building ... This regime was created by the -
Operational Resilience
We set out the requirements of our policy and how to report an operational disruption. -
PS16/3: Strengthening accountability in banking: Feedback on CP15/22 and CP15/31; final rules on extending the certification regime to wholesale market activities and interim rules on referencing
As well as ensuring that, in future, senior managers can be held accountable for any misconduct that falls within their area of responsibility, our regime aims to hold individuals working at ... If your firm is affected by the Senior Managers and -
2016 Disclosure Log
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 2016. -
Examining the future of anti-money laundering regulations
Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015 -
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. -
Principals and appointed representatives
If you’re a principal firm for an appointed representative (AR), find out what your responsibilities are and when to notify the FCA.