Search results
Showing 71 to 80 of 364 search results for function under the Senior Managers Regime.
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Information on the number of Senior Managers Regime applications in 2019/20 broken down by title on application - June 2020
FCA provides information on the number of Senior Managers Regime applications in 2019/20 broken down by title. -
Sustainability
the Senior Managers and Certified Persons Regimes. ... The new regime will increase accountability of individuals in positions of responsibility and raise standards of governance. -
FCA publishes rules on how it will apply the new accountability regime to UK branches of overseas banks and Solvency II firms
The new accountability regime covers the Senior Managers Regime; the Certification Regime; and new Conduct Rules. ... While the Senior Managers Regime will ensure that senior managers can be held accountable for any misconduct that falls within their -
Our Perimeter Report
Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products -
Fair and effective markets review
The recommendations seek to embed accountability with front-line staff for their actions and to make senior managers properly responsible for their role in controlling their businesses and managing their staff. ... First, the Senior Managers and -
Information on open FCA enforcement investigations - December 2020
The FCA provides a breakdown by category of all open FCA investigations as at the 23 November 2020. -
Leading the Way on Regulation
Speech delivered by Karina McTeague, Director of General Insurance and Conduct Specialists Supervision, at the British Insurance Brokers' Association (BIBA) Conference 2019. -
Fast-growing firms (FGFs) multi-firm review
We summarise our findings and set out our expectations of FCA solo-regulated fast-growing firms to identify, assess and manage the risks arising from their activities. -
IFPR implementation observations: quantifying threshold requirements and managing financial resources
Firms should consider these and how they can strengthen their processes. -
What can the consumer credit sector expect from the FCA?
Speech by Jonathan Davidson, Executive Director of Supervision – Retail and Authorisations, at the Credit Summit, London.