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Showing 61 to 70 of 541 search results for board effectiveness review.
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Authorised fund managers’ assessments of fund value 2023
Feedback following the second MFR of Authorised Fund Managers compliance with our Assessment of Value rules. -
November 2014: Internal Audit report: A review of the design and effectiveness of the FCA’s external communications strategy [pdf]
This document was submitted to the Treasury Committee on 01 December 2015 and published by them today. This document is a redacted version of an Internal Audit Report submitted to the Audit Committee of the FCA Board. At the request of the Treasury -
The challenges for insurance and regulators in a Big Data world
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at the Association Of British Insurers (ABI) annual conference. -
Speech: Culture in UK banking – regulatory priorities
One is a review of existing economic literature on behaviour in organisations and what it means for compliance.The other seeks to draw lessons on compliance from the world of tax. ... a special code of compliance for banks, one requiring banks’ boards -
The regulation of advice – recommendations post FAMR
Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the Westminster and City industry forum on FAMR, on 13 April 2016. This is the text of the speech as drafted, which may differ from the delivered version. -
A more effective approach to combatting financial crime
Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the BBA Financial Crime and Sanctions Conference. -
A forward look at regulation of the UK’s wholesale financial markets
Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at the FCA, delivered at the ISLA's Post Trade Conference on 16 March. -
FCA publishes the Swift Review into the supervisory intervention on interest rate hedging products
The FCA has accepted recommendations made by John Swift QC, who was commissioned to review the design, implementation and operation of the redress scheme set up for customers who were missold interest rate hedging products (IRHPs) from 2001. -
Retail and Wholesale Banking: review of firms’ whistleblowing arrangements
We have reviewed how firms have implemented our whistleblowing rules. We have published the findings, including the areas of good practice we observed and areas for improvement, together with our expectations on firms’ whistleblowing arrangements. -
Senior Managers and Certification Regime Banking Stocktake Report
The findings of our review into the embedding of the Senior Managers and Certification Regime (SM&CR) in the banking sector. The SM&CR was introduced for deposit-taking firms and dual-regulated investment firms (the banking sector) in March 2016.