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Showing 81 to 90 of 626 search results for changes to the Senior Managers Regime.
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Financial Conduct Authority confirms approach to improving responsibility and accountability in the banking sector
sets out how the FCA will implement the Senior Managers Regime (SMR); and. ... The new framework comprises two regimes, a ‘Senior Managers Regime’ and a ‘Certification Regime’, which aim to encourage individuals to take greater responsibility for -
Repeal and replacement of assimilated law
Documents on the repeal and replacement of provisions in the retained EU law. -
FCA publishes final rules to make those in the banking sector more accountable
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. -
The supervision of sponsors
Our supervision of sponsors is distinct from our supervision of authorised firms. We focus on ensuring sponsors fulfil their responsibilities under the listing regime. -
Dealing commission
Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA conference on dealing commission in London. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA launches enhanced Financial Services Register to protect consumers
The FCA has today launched its updated Financial Services (FS) Register – including a simpler design and clearer language. -
Side pockets
Side pockets could affect anyone who invests in funds that are exposed to Russian assets. Find out more about how side pockets work and what investors can expect. -
Information on nonfinancial misconduct and SMCR investigations - June 2022
The FCA provides data on nonfinancial misconduct and SMCR investigations. -
RCB key documents
Find our key documents and useful information if the regulated covered bonds regime applies to your firm. -
Onshoring updates to our Handbook and Technical Standards
We explain how we’ve prepared our Handbook and Technical Standards for the end of the transition period.