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Showing 61 to 70 of 702 search results for new Senior Managers Regime.

  1. FCA publishes Annual Report for 2014/15

    Press Releases Published: 02/07/2015 Last modified: 14/09/2015
    launching Project Innovate to help bring new and innovative financial products and services to the market. ... implementing the new Senior Managers Regime. our market studies, including cash savings, retirement income and review of competition in the

  2. Nothing to fear from high standards

    Speeches Published: 16/03/2015 Last modified: 03/11/2016
    Speech by Martin Wheatley, Chief Executive of the FCA, delivered at Bloomberg. This is the text of the speech as drafted, which may differ from the delivered version.

  3. Directory of certified and assessed persons

    Tasks for regulated firms Published: 04/09/2019 Last modified: 10/02/2023
    Find out how you can prepare and amend your certified and assessed person submission, and why it's important to confirm your details.

  4. Open-ended funds investing in less liquid assets

    Speeches Published: 19/03/2020 Last modified: 19/03/2020
    Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy, to Investment Association members.

  5. Guidance on the duty of responsibility: PS17/9

    Policy statements Published: 28/09/2016 Last modified: 03/05/2017
    In this Policy Statement, we set out guidance in the Decision Procedure and Penalties Manual (DEPP) on how we will enforce the ‘duty of responsibility’.

  6. Chief Executive speaks at APM about recent work and future challenges

    Speeches Published: 20/07/2016 Last modified: 20/07/2016
    Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting.

  7. Learning the lessons of the past as an industry

    Speeches Published: 02/12/2014 Last modified: 04/02/2015
    That is not a challenge that will disappear, even taking into account the criminal sanction for recklessness in the Banking Reform Act and the presumption of responsibility for senior managers that ... Importantly, the new senior managers regime for

  8. 2016 Disclosure Log

    Last modified: 30/01/2020
    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 2016. 

  9. 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.

  10. Operational Resilience

    Tasks for firms Published: 17/05/2017 Last modified: 04/03/2024
    We set out the requirements of our policy and how to report an operational disruption.