Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 21 to 30 of 185 search results for legal function under the Senior Managers Regime.

  1. Our approach to international firms

    Corporate documents Published: 19/03/2024 Last modified: 19/03/2024
    Find out what standards we expect from international firms providing financial services in the UK, or preparing to apply for full UK authorisation.

  2. Sustainability

    Speeches Published: 22/07/2014 Last modified: 05/08/2014
    the Senior Managers and Certified Persons Regimes. ... The new regime will increase accountability of individuals in positions of responsibility and raise standards of governance.

  3. Our Perimeter Report

    Annual reports Published: 20/07/2022 Last modified: 05/04/2024
    Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products

  4. Leading the Way on Regulation

    Speeches Published: 16/05/2019 Last modified: 17/05/2019
    Speech delivered by Karina McTeague, Director of General Insurance and Conduct Specialists Supervision, at the British Insurance Brokers' Association (BIBA) Conference 2019.  

  5. Business Plan 2024/25

    Business plans Published: 19/03/2024 Last modified: 09/04/2024
    Our Business Plan details the work we'll do over the next 12 months to help deliver the commitments in our Strategy.

  6. CASS compliance – the bigger picture

    Speeches Published: 02/12/2014 Last modified: 19/12/2014
    Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version.

  7. Independence, confidence and fairness

    Speeches Published: 04/02/2016 Last modified: 04/02/2016
    Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at Bloomberg, in the City of London, on 4 February 2016, London. This is the text of the speech as drafted, which may differ from the delivered version.

  8. Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation

    Press Releases Published: 31/03/2014 Last modified: 01/04/2014
    implementing the measures set out in the Financial Services Act 2013 including establishing Senior Managers and Certified Persons Regime to increase accountability to senior individuals. ... The FCA has an overarching strategic objective of ensuring the

  9. Conduct risk during LIBOR transition

    Firms Focus areas Markets Markets policy Published: 19/11/2019 Last modified: 09/01/2023
    Questions and answers for firms on conduct risk during LIBOR transition.

  10. Cryptoasset registration: information for applicants

    Published: 26/10/2023 Last modified: 07/02/2024
    The FCA's requirements and expectations of cryptoasset businesses for AML/CTF regime registration.