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Showing 121 to 130 of 363 search results for function under the Senior Managers Regime.
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A regulatory perspective: the drivers of culture and the role of purpose and governance
Marc Teasdale speaks on regulatory perspective, the driver of cultures and the role of purpose and governance. -
Market abuse requires a dynamic response to a changing risk profile
Where there is no alternative to the recognised codes available in the market, firms and Senior Managers who choose not to adhere to the recognised codes, should carefully consider how they ... It was once said that there is nothing new under the sun and -
Investing in outcomes: a regulatory approach to deliver for consumers, markets and competitiveness
Speech by Nikhil Rathi, FCA Chief Executive delivered at the Morgan Stanley European Financials Conference. -
Milestone for insurers as they come under the Senior Managers and Certification Regime
The Senior Managers and Certification Regime (SM&CR) has been extended to all insurers regulated by the Financial Conduct Authority (FCA) and Prudential Regulation Authority from today. -
Information on number of enforcement investigations opened against individuals under the Senior Managers & Certification Regime - November 2020
FCA provides information on number of enforcement investigations opened against individuals under the Senior Managers & Certification Regime. -
Rules that apply to firms in SRO and fund operators in the TMPR
We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR). -
How we are applying the principles of the SMR to the FCA [pdf]
We are applying the principles of the Senior Managers Regime to our own senior managers including members of our Board, Executive Committee and those carrying out Senior Management Functions. -
CP19/4: Optimising the Senior Managers & Certification Regime and feedback to DP16/4 – Overall responsibility and the legal function [pdf]
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Consumer Duty – information for firms
To help firms implement the Duty, we explain more on the areas of the Duty that we have been receiving firm queries on which are relevant for the wider market. -
New accountability regime for banks and insurers comes into force
The Senior Managers Regime for the banking sector and the Senior Insurance Managers Regime both come into force today. ... The internal application of the Senior Managers Regime reflects the PRA and FCA’s functions as public authorities and