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Showing 101 to 110 of 476 search results for cover the Senior Managers Regime.

  1. Why free trade and open markets in financial services matter

    Speeches Published: 06/07/2017 Last modified: 06/07/2017
    Speech by Andrew Bailey, Chief Executive of the FCA, at Reuters Newsmaker event.

  2. Joint FCA and PRA statement on SM&CR and coronavirus: our expectations of dual-regulated firms - December 2020 update

    Published: 18/12/2020 Last modified: 18/01/2021
    In April 2020, we set out our expectations to help dual-regulated firms apply the SM&CR following the exceptional circumstances that arose from the coronavirus pandemic (Covid-19). We offered some additional flexibility in the application of the

  3. Ensuring the UK remains open for business – requirements for foreign-owned firms

    Speeches Published: 13/11/2013 Last modified: 14/11/2013
    Speech by Clive Adamson, Director of Supervision, at the Association of Foreign Banks, London. This is the text of the speech as drafted, which may differ from the delivered version.

  4. Market abuse requires a dynamic response to a changing risk profile

    Speeches Published: 13/02/2019 Last modified: 17/05/2019
    In some firms, we have already observed financial crime policies and procedures which cover insider dealing and market manipulation. ... Where there is no alternative to the recognised codes available in the market, firms and Senior Managers who choose

  5. Ex post Impact Evaluation Framework – Feedback Statement

    Feedback statements Published: 20/12/2018 Last modified: 20/12/2018
    This feedback statement summarises views received from our stakeholders after the publication of a discussion paper in April 2018, and our responses to them.

  6. General insurance product value and coronavirus (Covid-19) Guidance – update

    Studies and reviews Multi-firm reviews Published: 25/08/2021 Last modified: 25/08/2021
    We set out the findings from our multi-firm review assessing how firms have responded to our general insurance (GI) distribution chain Guidance (further to the product governance rules implemented by the IDD) and coronavirus (Covid-19) value Guidance

  7. Investing in outcomes: a regulatory approach to deliver for consumers, markets and competitiveness

    Speeches Published: 14/03/2024 Last modified: 14/03/2024
    Speech by Nikhil Rathi, FCA Chief Executive delivered at the Morgan Stanley European Financials Conference.

  8. Period to cover absent Senior Managers extended due to coronavirus (Covid-19)

    News stories Published: 06/05/2020 Last modified: 06/05/2020
    The FCA has extended the maximum period firms can arrange cover for a senior manager without being approved, from 12 weeks to a maximum of 36 weeks, in a consecutive 12-month period.

  9. Credit unions

    Tasks for firms Published: 11/05/2015 Last modified: 03/05/2024
    Find out how to get authorised and about other requirements for credit unions.

  10. FCA consults on how firms and individuals will transition to the Senior Managers and Certification Regime

    Press Releases Published: 13/12/2017 Last modified: 13/12/2017
    The Financial Conduct Authority (FCA) has today published a package of proposals on how firms and individuals will move to the Senior Managers and Certification Regime. The aim of the new regime is to make individuals more accountable for their