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Showing 101 to 110 of 478 search results for principles of the Senior Managers Regime.
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PS16/3: Strengthening accountability in banking: Feedback on CP15/22 and CP15/31; final rules on extending the certification regime to wholesale market activities and interim rules on referencing
As well as ensuring that, in future, senior managers can be held accountable for any misconduct that falls within their area of responsibility, our regime aims to hold individuals working at ... If your firm is affected by the Senior Managers and -
Stress testing for human beings
Speech by Charles Randell, Chair of the FCA, delivered at the Gleneagles Pensions & Savings Symposium. -
The journey to a sustainable credit market
Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the Credit Summit. This is the text of the speech as drafted, which may differ from the delivered version. -
Investor engagement in a changing regulatory landscape
Taking a brief step back, I know that one area that you will be familiar with is corporate access - payments by investment managers to brokers to arrange access to senior management ... Our policy analysis and response on this subject, being closely -
Has the industry improved ten years on?
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Banking Litigation & Regulation Forum 2018. -
Regulation - supporting vibrant markets
Speech by Martin Wheatley, CEO of the Financial Conduct Authority, delivered at the Future of Financial Services event in London. This is the text of the speech as drafted, which may differ from the delivered version. -
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 -
Information relating to individual approvals and complaints relating to authorisations - March 2021
The FCA responds to questions relating to applications for individual approvals, and complaints relating to authorisations and credit authorisations. -
A financial system to support the recovery
Speech by Charles Randell, Chair of the FCA, to a virtual roundtable of bank chairs hosted by UK Finance. -
A strategy for positive change: our ESG priorities
The FCA's environmental, social and governance (ESG) strategy sets out our target outcomes and the actions we expect to take to deliver these, to support the transition to a net zero economy.