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Showing 71 to 80 of 481 search results for principles of the Senior Managers Regime.

  1. Andrew Bailey speech at the Annual Public Meeting 2018

    Speeches Published: 11/09/2018 Last modified: 11/09/2018
    Speech by Andrew Bailey, Chief Executive of the FCA, delivered at our 2018 Annual Public Meeting.

  2. Submit a change in control notification

    Tasks for firms Published: 12/10/2019 Last modified: 13/12/2023
    Find out how to prepare your notification and understand what happens after you submit it.

  3. Speech: Culture in UK banking – regulatory priorities

    Insight Published: 18/10/2016 Last modified: 17/02/2017
    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.

  4. International regulatory developments affecting investment management

    Speeches Published: 05/06/2024 Last modified: 05/06/2024
    Speech by Nikhil Rathi, FCA Chief Executive, delivered at the Investment Association Annual Conference 2024.

  5. Open-ended funds investing in less liquid assets

    Speeches Published: 19/03/2020 Last modified: 19/03/2020
    Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy, to Investment Association members.

  6. Leading the Way on Regulation

    Speeches Published: 16/05/2019 Last modified: 17/05/2019
    Speech delivered by Karina McTeague, Director of General Insurance and Conduct Specialists Supervision, at the British Insurance Brokers' Association (BIBA) Conference 2019.  

  7. Independence, confidence and fairness

    Speeches Published: 04/02/2016 Last modified: 04/02/2016
    Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at Bloomberg, in the City of London, on 4 February 2016, London. This is the text of the speech as drafted, which may differ from the delivered version.

  8. Outlining the FCA’s approach to authorisation

    Speeches Published: 15/03/2018 Last modified: 15/03/2018
    Speech by Sarah Rapson, Director, Authorisations at the Association of Professional Compliance Consultants (APCC) Annual Conference.

  9. Building better foundations in AI

    Speeches Published: 24/01/2023 Last modified: 24/01/2023
    Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at The Alan Turing Institute’s Framework for Responsible Adoption of Artificial Intelligence in the Financial Services Industry event.

  10. PS19/7: Finalising the Directory

    Policy statements Published: 08/03/2019 Last modified: 08/03/2019
    This Policy Statement sets out the final rules on the Directory, a new public register for checking the details of key individuals working in the financial services. It also summarises the feedback we received to Consultation Paper CP18/19 and our