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Showing 51 to 60 of 481 search results for principles of the Senior Managers Regime.

  1. SM&CR and coronavirus: our expectations for solo-regulated firms - December 2020 update

    Statements Published: 18/12/2020 Last modified: 18/12/2020
    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

  2. PS18/18: Industry Codes of Conduct and Discussion Paper on FCA principle 5

    Policy statements Published: 03/11/2017 Last modified: 20/07/2018
    In this Policy Statement we respond to feedback arising from CP17/37 and publish handbook guidance regarding the FCA’s recognition of industry codes of conduct. Code authors will be able to seek recognition from 18 July 2018 when these this

  3. Rolling regulation forwards

    Speeches Published: 16/11/2022 Last modified: 16/11/2022
    Speech by Nikhil Rathi, FCA Chief Executive delivered at the UK Finance annual dinner.

  4. The FCA’s role in preparing for Brexit

    Statements Published: 27/06/2018 Last modified: 31/01/2020
    Further to the announcement from the Treasury on its approach to amending financial services legislation under the European Union (Withdrawal) Act, this statement provides stakeholders with an update on how we are preparing for the UK leaving the

  5. 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.

  6. FCA confirms recognition of the FX Global and UK Money Markets Codes

    Statements Published: 26/06/2019 Last modified: 26/06/2019
    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.

  7. The Importance of Diversity

    Speeches Published: 05/02/2019 Last modified: 08/02/2019
    Speech by Andrew Bailey, Chief Executive of the FCA, at the PIMFA Wealth of Diversity Conference 2019.

  8. Our emerging regulatory approach to Big Tech and Artificial Intelligence

    Speeches Published: 12/07/2023 Last modified: 12/07/2023
    Speech by Nikhil Rathi, our Chief Executive, delivered at The Economist, London.

  9. MiFID II: product governance review

    Multi-firm reviews Published: 26/02/2021 Last modified: 15/04/2021
    In this MiFID II review we looked at product governance in a sample of 8 asset management firms.

  10. 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.