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Showing 131 to 140 of 650 search results for including the Senior Managers Regime.
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Realising the benefits of purposeful leadership
Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at the CCTA 2018 Conference, Nottingham. -
CP14/25: Changes to the Approved Persons Regime for Solvency II firms
This Consultation Paper proposes changes to the Approved Persons Regime for Solvency II firms to address:. ... the PRA’s proposed reforms to the scope of its pre-approval regime. -
Women in finance: keeping up the pressure for progress
Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to the Women in Finance Summit, London -
CMCs: how we will authorise and regulate firms
Claims management companies are subject to FCA regulation. Read about the standards and rules your firm will need to meet. -
IFPR implementation observations: quantifying threshold requirements and managing financial resources
Firms should consider these and how they can strengthen their processes. -
Retail banking: product governance review
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 -
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 -
Asset management market study
We have published the final findings of our asset management market study. As part of this, we set out a package of remedies to address the concerns identified. -
New priorities for banking reform
Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the Warwick Business School Westminster Forum. This is the text of the speech as drafted, which may differ from the delivered version. -
2019 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2019.