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Showing 31 to 40 of 185 search results for legal function under the Senior Managers Regime.
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Where next for investment and asset management regulation?
Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017. -
Speech: Culture in UK banking – regulatory priorities
Hence the main aim of our major initiative, the Senior Managers and Certification Regime or ‘SMCR’, is to drive cultural change. ... FCA’s Senior Managers Regime for financial firms. -
Improving the Appointed Representatives regime through greater use of data
This publication includes data from the FCA's 2021 and 2022 data requests sent to principal firms and authorisation information collected from firms. It also outlines how the FCA is improving the Appointed Representatives’ Regime (AR) regime and -
Review of principal firms in the investment management sector
We have reviewed how asset managers calculate and disclose transaction costs and how effective overall cost disclosures are. -
How to flex your organisation's power through culture and conduct
Speech by Emily Shepperd, Chief Operating Officer and Executive Director of Authorisations at City & Financial's Culture and Conduct Forum. -
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 -
Transforming to a forward-looking, proactive regulator
Speech by our CEO, Nikhil Rathi, delivered at the FCA’s Our Role and Business Plan webinar. -
Chief Executive speaks at APM about recent work and future challenges
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting. -
Opening up and speaking out: diversity in financial services and the challenge to be met
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at Mitsubishi UFJ Financial Group, London. -
Sanctions systems and controls: firms’ response to increased sanctions due to Russia’s invasion of Ukraine
We set out key findings from our assessments of sanctions systems and controls in financial services firms. We include examples of good practice and areas for improvement, to help firms deliver even greater compliance with sanctions.