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Showing 101 to 110 of 363 search results for function under the Senior Managers Regime.

101. Improving the Appointed Representatives regime through greater use of data

     Data Published: 28/09/2023 Last modified: 03/10/2023
     This publication includes data from the FCA's 2021 and 2022 data requests sent to principal firms and authorisation information collected from firms. It also outlines how the FCA is improving the Appointed Representatives’ Regime (AR) regime and

102. Keeping up with the credit sector: the FCA’s view on the market today

     Speeches Published: 30/03/2017 Last modified: 30/03/2017
     Speech by Jonathan Davidson, Director of Supervision – retail and authorisations at the FCA, at Credit Summit in London.

103. FCA and PRA jointly fine Mr James Staley £642,430 and announce special requirements regarding whistleblowing systems and controls at Barclays

     Press Releases Published: 11/05/2018 Last modified: 11/05/2018
     The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have together fined Mr James Staley, Chief Executive of Barclays Group (Barclays), a total of £642,430. Mr Staley failed to act with due skill, care and diligence

104. Wholesale market policy – a year in review

     Speeches Published: 11/12/2015 Last modified: 11/12/2015
     Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at the ICI Global Trading and Market Structure Conference in London on 8 December 2015. This is the text of the speech as drafted, which may differ from the

105. Regulation - supporting vibrant markets

     Speeches Published: 02/06/2015 Last modified: 02/06/2015
     Speech by Martin Wheatley, CEO of the Financial Conduct Authority, delivered at the Future of Financial Services event in London. This is the text of the speech as drafted, which may differ from the delivered version.

106. Review of principal firms in the investment management sector

     Multi-firm reviews Published: 20/05/2019 Last modified: 20/05/2019
     We have reviewed how asset managers calculate and disclose transaction costs and how effective overall cost disclosures are.

107. Consumer Duty implementation plans

     Focus areas Multi-firm reviews Published: 25/01/2023 Last modified: 25/01/2023
     The Consumer Duty will set higher and clearer standards of consumer protection across financial services and require firms to act to deliver good outcomes for customers. The FCA sets out here the findings from their review of firms’ plans to embed

108. How to flex your organisation's power through culture and conduct

     Speeches Published: 23/11/2023 Last modified: 23/11/2023
     Speech by Emily Shepperd, Chief Operating Officer and Executive Director of Authorisations at City & Financial's Culture and Conduct Forum.

109. Cultural evolution: how culture must change to meet expectations

     Speeches Published: 26/06/2023 Last modified: 26/06/2023
     Speech by Emily Shepperd, Chief Operating Officer and Executive Director of Authorisations, delivered online at the Westminster Business Forum.

110. A strategy for positive change: our ESG priorities

     Corporate documents Published: 03/11/2021 Last modified: 21/11/2022
     The FCA's environmental, social and governance (ESG) strategy sets out our target outcomes and the actions we expect to take to deliver these, to support the transition to a net zero economy.