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Showing 41 to 50 of 1000 search results for senior management regime.
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Personal accountability
Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the City & Financial conference on Personal Accountability in the Financial Services Industry, 2 December 2015, London. This is the text of the speech as drafted, which may differ -
Examining the future of anti-money laundering regulations
Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015 -
Accountability, from debate to reality
Speech by Martin Wheatley, CEO of the Financial Conduct Authority, delivered at the City & Financial conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
PS19/9: Applying the Senior Managers and Certification Regime to Claims Management Companies [pdf]
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SM&CR: Form K user guide for Core Firms with a CF2 who require a non-executive chair (SMF9) [pdf]
Form K is the conversion notification form. It enables firms to tell us which approved individuals they wish to convert from the Approved Persons Regime (APR) to corresponding Senior Management Functions (SMFs) under the Senior Managers & -
FCA outlines proposals to extend the Senior Managers and Certification Regime to all financial services firms
In October 2015, HM Treasury announced its intention to extend the Senior Managers and Certification Regime (SM&CR) to all sectors of the financial services industry. -
CP18/26: Claims management companies: how we propose to apply the Senior Managers and Certification Regime [pdf]
This Consultation Paper (CP) sets out the draft rules and guidance for CMCs relating to the SM&CR. The proposed rules would apply to CMCs serving customers in, or constituted under the laws of, England and Wales or Scotland. -
What can the consumer credit sector expect from the FCA?
Speech by Jonathan Davidson, Executive Director of Supervision – Retail and Authorisations, at the Credit Summit, London. -
Culture and governance
Read about the FCA's work on culture and governance, including details of how to get involved. -
Bribery and corruption
Your firm should be vigilant about bribery and corruption. Read more on the steps you can take.