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Showing 91 to 100 of 478 search results for principles of the Senior Managers Regime.
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IFPR implementation observations: quantifying threshold requirements and managing financial resources
Firms should consider these and how they can strengthen their processes. -
Investor relations in an increasingly regulated and international world
Speech by David Lawton, Director of Markets, the FCA, to the Investor Relations Society Annual Conference, on 18 June 2013. -
FS19/3: Recognition of codes: feedback on QCP 23 18/39
We summarise responses received to QCP 18/39 on the recognition of industry codes of conduct and outline our next steps. -
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. -
FCA confirms recognition of the revised FX Global Code and the Global Precious Metals Code
Both these voluntary market codes have been written and are owned by the industry and reflect their views of best practice -
How to organise a COO
Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at the Armstrong Wolfe COO Summit 2023 -
Keeping up with the credit sector: the FCA’s view on the market today
Speech by Jonathan Davidson, Director of Supervision – retail and authorisations at the FCA, at Credit Summit in London. -
The rapidity of change
Speech by Tracey McDermott, Acting Chief Executive at the Financial Conduct Authority, to be delivered at the City Banquet - Mansion House this evening. This is the text of the speech as drafted, which may differ from the delivered version. -
PS22/1: FCA authorisation application fees: new structure
We are setting out the new structure for authorisation application fees that comes into effect from 24 January 2022. -
Financial conduct regulation in a restless world
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Deloitte conduct risk roadshow.