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Showing 81 to 90 of 475 search results for principles of the Senior Managers Regime.
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Our Perimeter Report
Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products -
FCA confirms recognition of the FX Global and UK Money Markets Codes
Following consultation feedback, the Financial Conduct Authority (FCA) confirmed that it is recognising the following voluntary market codes of best practice under its codes recognition scheme: FX Global Code and UK Money Markets Code. -
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. -
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. -
Andrew Bailey speech at the Annual Public Meeting 2018
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at our 2018 Annual Public Meeting. -
The future of financial conduct regulation
Speech by Andrew Bailey, Chief Executive of the FCA, on the the future of financial conduct regulation, delivered at Bloomberg, London -
Primary Market Bulletin Issue No. 30
In this special edition, we publish general news and information, including changes to our Knowledge Base. -
Information on nonfinancial misconduct and SMCR investigations - June 2022
The FCA provides data on nonfinancial misconduct and SMCR investigations. -
Stress testing for human beings
Speech by Charles Randell, Chair of the FCA, delivered at the Gleneagles Pensions & Savings Symposium. -
SM&CR and coronavirus: our expectations for solo-regulated firms - December 2020 update
In April 2020, we set out our expectations to help solo-regulated firms apply the SM&CR following the exceptional circumstances arising from the coronavirus pandemic (Covid-19). We offered some additional flexibility in the application of the SM&CR