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Showing 141 to 150 of 818 search results for senior managers regime.

141. Strengthening Accountability in Banking: Senior Managers & Certification Regime slides [pdf]

     Documents Published: 06/10/2015 Last modified: 03/08/2016
     These slides provide additional information for firms on the regime. They summarise existing information and do not represent formal FCA Guidance.

142. FG19/2: Summary feedback for guidance [pdf]

     Finalised guidance Published: 07/03/2019
     This document provides a summary of the feedback we received, and our response, to consultation GC18/4 on the Senior Managers and Certification Regime: Proposed guidance on Statements of Responsibilities and Responsibilities Maps for FCA firms.

143. Looking ahead to 2014

     Speeches Published: 09/12/2013 Last modified: 09/12/2013
     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.

144. Market Watch 66

     Newsletters Published: 11/01/2021 Last modified: 22/01/2021
     In this Market Watch, we set out our expectations for firms on recording telephone conversations and electronic communications when alternative working arrangements are in place, including increased homeworking.

145. 2019 Disclosure Log

     Last modified: 20/03/2024
     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 2019. 

146. Wholesale markets firm applicants

     Firm authorisation Published: 05/07/2023 Last modified: 08/11/2023
     If you're a wholesale investment firm, you have to be authorised by us. Learn how to prepare your application and what you need to read first.

147. What makes good conduct regulation?

     Speeches Published: 14/02/2017 Last modified: 14/02/2017
     Speech by John Griffith Jones, Chairman at the FCA, delivered at the Cambridge Judge Business School.

148. About the FCA

     About us What we do Published: 19/04/2016 Last modified: 02/04/2024
     The FCA regulates the conduct of nearly 45,000 businesses in the UK to ensure that financial markets work well. Find out more about our role.

149. 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.

150. FCA proposes new measures to maintain firms’ focus on culture

     Press Releases Published: 28/09/2016 Last modified: 28/09/2016
     The Financial Conduct Authority (FCA) will mark six months since the implementation of the Senior Managers’ and Certification Regime by providing feedback on implementation so far and proposing measures to further strengthen the regime. The