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Showing 121 to 130 of 628 search results for changes to the Senior Managers Regime.
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Sustainability
The desire for more accountability from the people in senior positions within large institutions has not diminished; there has been significant legislative change in this area and we will work with ... the Senior Managers and Certified Persons Regimes. -
Vote Reporting Group
Find out how the group aims to improve shareholder vote reporting by UK asset managers. -
What makes good conduct regulation?
Speech by John Griffith Jones, Chairman at the FCA, delivered at the Cambridge Judge Business School. -
Leading the Way on Regulation
Speech delivered by Karina McTeague, Director of General Insurance and Conduct Specialists Supervision, at the British Insurance Brokers' Association (BIBA) Conference 2019. -
MiFID II: product governance review
In this MiFID II review we looked at product governance in a sample of 8 asset management firms. -
CASS compliance – the bigger picture
Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA publishes rules on how it will apply the new accountability regime to UK branches of overseas banks and Solvency II firms
The new accountability regime covers the Senior Managers Regime; the Certification Regime; and new Conduct Rules. ... While the Senior Managers Regime will ensure that senior managers can be held accountable for any misconduct that falls within their -
Independence, confidence and fairness
Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at Bloomberg, in the City of London, on 4 February 2016, London. This is the text of the speech as drafted, which may differ from the delivered version. -
CP14/25: Changes to the Approved Persons Regime for Solvency II firms
In this paper we identify the proposed changes to the Approved Persons Regime for Solvency II firms. ... This Consultation Paper proposes changes to the Approved Persons Regime for Solvency II firms to address:. -
Trust and ethics – a regulator’s perspective
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at the launch of the St Mary’s University School of Business and Society, London.