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Showing 241 to 250 of 817 search results for senior managers regime.

241. CP15/10: Strengthening accountability in banking: UK branches of foreign banks

     Consultation papers Published: 16/03/2015 Last modified: 14/09/2015
     The regime is comprised of a Senior Managers Regime, Certification Regime and Conduct Rules, and aims to encourage individuals to take greater responsibility for their actions and make it easier for ... PRA CP7/15 / FCA CP15/5 on Approach to

242. Realising the benefits of purposeful leadership

     Speeches Published: 01/11/2018 Last modified: 01/11/2018
     Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at the CCTA 2018 Conference, Nottingham.

243. The view from the regulator on Operational Resilience

     Speeches Published: 05/12/2019 Last modified: 05/12/2019
     Speech by Megan Butler, FCA Executive Director of Supervision: Investment, Wholesale and Specialist, delivered on 5 December 2019 at 13.30

244. Conduct risk during LIBOR transition

     Firms Focus areas Markets Markets policy Published: 19/11/2019 Last modified: 09/01/2023
     Questions and answers for firms on conduct risk during LIBOR transition.

245. Asset management market study

     Market studies Published: 18/11/2015 Last modified: 24/09/2018
     We have published the final findings of our asset management market study. As part of this, we set out a package of remedies to address the concerns identified.

246. FCA publishes Annual Report and Accounts 2017/18

     Press Releases Published: 19/07/2018 Last modified: 03/08/2018
     The Financial Conduct Authority (FCA) has today published its Annual Report and Accounts, which looks back on the key pieces of work undertaken by the organisation throughout 2017/18.

247. Culture in financial institutions: it’s everywhere and nowhere

     Speeches Published: 16/03/2017 Last modified: 20/03/2017
     Speech by Andrew Bailey, Chief Executive of the FCA, at the HKMA Annual Conference for Independent Non-Executive Directors.

248. Fast-growing firms (FGFs) multi-firm review

     Multi-firm reviews Published: 10/03/2023 Last modified: 13/03/2023
     We summarise our findings and set out our expectations of FCA solo-regulated fast-growing firms to identify, assess and manage the risks arising from their activities.

249. Primary Market Bulletin Issue No. 30

     Newsletters Published: 19/08/2020 Last modified: 21/08/2020
     In this special edition, we publish general news and information, including changes to our Knowledge Base.

250. FCA reminds firms to regularly review regulatory permissions

     Statements Published: 18/01/2021 Last modified: 18/01/2021
     We are reminding firms of their obligation to regularly review regulatory permissions to ensure they are up to date and removed where they are not needed.