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Showing 141 to 150 of 613 search results for under the Senior Managers Regime.

141. CP15/5: Approach to non-executive directors in banking and Solvency II firms & Application of the presumption of responsibility to Senior Managers in banking firms

     Consultation papers Published: 23/02/2015 Last modified: 14/09/2015
     CP15/5: Approach to non-executive directors in banking and Solvency II firms & Application of the presumption of responsibility to Senior Managers in banking firms. ... Under the revised approach the PRA and FCA will only make the following NEDs subject

142. FCA to launch enhanced Financial Services Register

     Mortgage lenders and intermediaries News stories Published: 09/07/2020 Last modified: 13/07/2020
     The FCA will be replacing its existing Financial Services Register with an enhanced Financial Services Register. We will then add a directory of certified and assessed persons to the Register.

143. PS22/1: FCA authorisation application fees: new structure

     Policy statements Published: 10/01/2022 Last modified: 10/01/2022
     We are setting out the new structure for authorisation application fees that comes into effect from 24 January 2022.

144. CASS compliance – the bigger picture

     Speeches Published: 02/12/2014 Last modified: 19/12/2014
     Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version.

145. 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.

146. 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. ... add text to EG 7 to reflect the FCA’s ability to apply to the Court under section 89NA for a voting rights suspension order.

147. 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.

148. The future of LIBOR

     Speeches Published: 27/07/2017 Last modified: 27/07/2017
     Speech by Andrew Bailey, Chief Executive of the FCA, at Bloomberg London.

149. The rapidity of change

     Speeches Published: 22/10/2015 Last modified: 18/01/2017
     Speech by Tracey McDermott, Acting Chief Executive at the Financial Conduct Authority, to be delivered at the City Banquet - Mansion House this evening. This is the text of the speech as drafted, which may differ from the delivered version.

150. Firms falling short of renewal expectations

     Multi-firm reviews Published: 18/10/2017 Last modified: 18/10/2017
     This page summarises how general insurance firms have implemented our transparency in insurance renewals which came into effect in April 2017.