Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 281 to 290 of 403 search results for extend the Senior Managers Regime.

  1. Nikhil Rathi – APM opening remarks 2022

    Speeches Published: 12/10/2022 Last modified: 12/10/2022
    Opening remarks by Nikhil Rathi, Chief Executive of the FCA delivered at the FCA's 2022 Annual Public Meeting.

  2. PRA and FCA conclude investigations into senior managers in relation to the 2008 failure of HBOS plc

    Press Releases Published: 26/08/2022 Last modified: 26/08/2022
    PRA and FCA joint investigations into certain former senior managers at HBOS plc have now concluded with a decision by each of the Authorities’ independent decision-makers to take no further action.

  3. MiFID II: The future of European trading in the balance

    Speeches Published: 19/09/2014 Last modified: 01/11/2016
    Speech by David Lawton, Director of Markets, at the FCA MiFID II Conference 2014. This is the text of the speech as drafted, which may differ from the delivered version.

  4. Statement on the further investigative steps in relation to RBS GRG

    Press Releases Published: 31/07/2018 Last modified: 31/07/2018
    The Financial Conduct Authority (FCA) has today provided an update on its investigation in to Royal Bank of Scotland’s (RBS) treatment of small and medium-sized enterprise (SME) customers transferred to its Global Restructuring Group (GRG).

  5. FCA consults on further climate-related disclosure rules

    Press Releases Published: 22/06/2021 Last modified: 22/06/2021
    The FCA has published new proposals on climate-related disclosure rules for listed companies and certain regulated firms.

  6. CMCs: how we will authorise and regulate firms

    Claims management companies Published: 17/12/2018 Last modified: 06/02/2023
    Claims management companies are subject to FCA regulation. Read about the standards and rules your firm will need to meet.

  7. Retail banking: product governance review

    Multi-firm reviews Published: 05/03/2018 Last modified: 05/03/2018
    The latest stage of our supervision work looked at product governance in small and medium-sized retail banks. It examined how well banks consider customers’ needs when they design and sell products and provide after-sales services. We found common

  8. CP15/42: Quarterly Consultation Paper No. 11

    Consultation papers Published: 04/12/2015 Last modified: 17/12/2015
    make consequential changes to various RDR forms as a result of the Senior Managers’ Regime.

  9. Creating and sustaining cultures of compliance: insights from psychology and beyond

    Insight Published: 16/12/2016 Last modified: 17/02/2017
    This involves increasing the expected costs of non-compliance. The Senior Managers Regime, for example, aims to make the risks of wrongdoing more tangible by highlighting the individual’s personal area ... Another example relates to the Financial

  10. FG19/2: SM&CR: Guidance on Statements of Responsibilities and Responsibilities Maps

    Finalised guidance Published: 08/03/2019 Last modified: 30/08/2019
    This page explains the FCA's final guidance on practical assistance and information to solo-regulated firms when preparing their Statements of Responsibilities and Responsibilities Maps.
Related topics