Search results

Showing 211 to 220 of 817 search results for senior managers regime.

211. 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.

212. 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.

213. Robo Advice: an FCA perspective

     Speeches Published: 02/11/2017 Last modified: 02/11/2017
     Speech by Bob Ferguson, Head of Department, Strategy & Competition Division, FCA

214. Service standards 2018/19

     Data Published: 24/06/2019 Last modified: 24/06/2019
     The FCA measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2018/19.

215. 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.

216. CP15/42: Quarterly Consultation Paper No. 11

     Consultation papers Published: 04/12/2015 Last modified: 17/12/2015
     make consequential changes to various RDR forms as a result of the Senior Managers’ Regime.

217. Recognised industry codes

     About us How we regulate Published: 19/07/2018 Last modified: 10/02/2023
     The FCA's process for recognising industry codes of conduct for unregulated financial markets and activities.

218. 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.

219. Statement on the further investigative steps in relation to RBS GRG

     Press Releases Published: 31/07/2018 Last modified: 31/07/2018
     The Financial Conduct Authority (FCA) has today provided an update on its investigation in to Royal Bank of Scotland’s (RBS) treatment of small and medium-sized enterprise (SME) customers transferred to its Global Restructuring Group (GRG).

220. 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.