Search results
Showing 131 to 140 of 813 search results for senior managers regime.
-
Consumer Duty – information for firms
To help firms implement the Duty, we explain more on the areas of the Duty that we have been receiving firm queries on which are relevant for the wider market. -
Regulating the funeral plans sector
The FCA regulates pre-paid funeral plans, which means any funeral plan provider or intermediary must be authorised. Find out what this means for your firm. -
The Senior Managers and Certification Regime: Guide for insurers [pdf]
-
What makes good conduct regulation?
Speech by John Griffith Jones, Chairman at the FCA, delivered at the Cambridge Judge Business School. -
PS19/20: Optimising the Senior Managers & Certification Regime and feedback to CP19/4
The Senior Managers & Certification Regime (SM&CR) was introduced for banking firms in 2016 and insurers in December 2018. It will apply to solo-regulated firms from December 2019. -
Looking ahead to 2014
Speech by Martin Wheatley, Chief Executive of the FCA, at the ICI Global Trading and Market Structure Conference. This is the text of the speech as drafted, which may differ from the delivered version. -
Independence, confidence and fairness
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. -
Sustainability
the Senior Managers and Certified Persons Regimes. ... The new regime will increase accountability of individuals in positions of responsibility and raise standards of governance. -
AI: Moving from fear to trust
Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at the City and Financial Global summit: Regulation and risk management of Artificial Intelligence in financial services. -
Global regulation in the post-crisis era
Speech by John Griffith-Jones, Chairman, FCA, delivered at the TheCityUK Annual Conference on 30 June 2016.