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Showing 201 to 210 of 818 search results for senior managers regime.

201. 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.

202. How to organise a COO

     Speeches Published: 08/02/2023 Last modified: 08/02/2023
     Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at the Armstrong Wolfe COO Summit 2023

203. New priorities for banking reform

     Speeches Published: 17/06/2015 Last modified: 17/06/2015
     Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the Warwick Business School Westminster Forum. This is the text of the speech as drafted, which may differ from the delivered version.

204. Our approach to supervision

     Corporate documents Published: 19/03/2024 Last modified: 19/03/2024
     Our approach to supervision sets out how we carry out our regulatory oversight. It is designed to help firms, consumers and markets understand how we work, and fulfil our accountability to Parliament and to the public.

205. Overview of the FCA prudential approach

     Speeches Published: 21/05/2015 Last modified: 21/05/2015
     Speech by Nausicaa Delfas, Director of Specialist Supervision at the FCA, delivered at the first FCA Prudential Supervision Forum. This is the text of the speech as drafted, which may differ from the delivered version.

206. 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

207. The hallmarks of a future-fit workforce

     Speeches Published: 05/03/2024 Last modified: 05/03/2024
     Speech by Emily Shepperd, Chief Operating Officer and Executive Director of Authorisations at TheCityUK and Financial Services Skills Commission Future Skills Conference.

208. 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.

209. The Senior Managers and Certification Regime: Guide for FCA solo-regulated firms [pdf]

     Policy statements Published: 04/07/2018

210. Money laundering and terrorist financing

     Focus areas Published: 02/08/2015 Last modified: 21/02/2023
     Find out more about the regulations and risk-based approach to anti-money laundering.