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Showing 31 to 40 of 651 search results for including the Senior Managers Regime.
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Conduct risk in FX markets
Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe. -
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. -
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 -
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. -
Examining the future of anti-money laundering regulations
Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015 -
REP008: Conduct Rules reporting for solo-regulated firms
Under the Senior Managers and Certification Regime (SM&CR), solo-regulated firms need to tell us whether disciplinary action has been taken against individuals, who aren't Senior Managers, for Conduct Rules breaches. -
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). -
Transparency
The FCA sets out to be as open and accountable as possible, so it can be scrutinised by consumers, firms and Parliament. To do this the FCA publishes information about regulated firms and individuals, or it requires firms and individuals to do so. -
Vote Reporting Group
Find out how the group aims to improve shareholder vote reporting by UK asset managers. -
Joint FCA and PRA statement on SM&CR and coronavirus: our expectations of dual-regulated firms - December 2020 update
In April 2020, we set out our expectations to help dual-regulated firms apply the SM&CR following the exceptional circumstances that arose from the coronavirus pandemic (Covid-19). We offered some additional flexibility in the application of the