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Showing 91 to 100 of 701 search results for new Senior Managers Regime.
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Market Watch 66
In this Market Watch, we set out our expectations for firms on recording telephone conversations and electronic communications when alternative working arrangements are in place, including increased homeworking. -
Transforming culture in financial services
Speech by Andrew Bailey, Chief Executive of the FCA, at the Transforming culture in financial services conference. -
Learning the lessons of the past as an industry
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 -
Side pockets
Side pockets could affect anyone who invests in funds that are exposed to Russian assets. Find out more about how side pockets work and what investors can expect. -
Looking ahead to 2014
Speech by Martin Wheatley, Chief Executive of the FCA, at the ICI Global Trading and Market Structure Conference. This is the text of the speech as drafted, which may differ from the delivered version. -
Information on enforcement investigations into Senior Managers - May 2022
The FCA responds to multiple questions on enforcement investigations into Senior Managers. -
Financial Conduct Authority confirms approach to improving responsibility and accountability in the banking sector
sets out how the FCA will implement the Senior Managers Regime (SMR); and. ... The new framework comprises two regimes, a ‘Senior Managers Regime’ and a ‘Certification Regime’, which aim to encourage individuals to take greater responsibility for -
Shaping the future in asset management
Keynote speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Asset Management Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Information on enforcement investigations under SMR - June 2022
The FCA answers multiple questions on enforcement investigations under the Senior Managers and Certification Regime. -
Repeal and replacement of assimilated law
Documents on the repeal and replacement of provisions in the retained EU law.