Showing 1 to 10 of 869 search results for senior managers regime.

1. Tackling the hard questions

   Speeches

   Published: 28/04/2016

   Last modified: 02/07/2024

   Speech by Mark Steward, director of enforcement and market oversight, at the Thomson Reuters Annual Compliance and Risk Summit 2016.

2. Information on investigations opened under the Senior Managers' Regime - June 2022

   FOI Release

   Date of Release: 22/06/2022

   The FCA provides information on investigations opened under the Senior Managers' Regime.

3. Statistics provided on the Senior managers' Regime - January 2020

   FOI Release

   Date of Release: 03/01/2020

   FCA Provides Statistics of Individuals under the scope of Senior Managers and Certification Regime.

4. PS16/6: Consequential Changes to the Senior Managers Regime

   Policy statements

   Published: 02/03/2016

   Last modified: 26/05/2016

   PS16/6: Consequential Changes to the Senior Managers Regime. Policy statements First published:. ... In this Policy Statement we report on the main issues arising from Consultation Paper 16/1 Consequential Changes to the Senior Managers Regime and

5. Practical implications of US law on EU practice

   Speeches

   Published: 19/01/2017

   Last modified: 20/01/2017

   Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe.

6. Information on Senior Manager Regime applications - April 2022

   FOI Release

   Date of Release: 05/04/2022

   The FCA answers multiple questions on Senior Managers Regime applications.

7. Senior Managers and Certification Regime

   Tasks for regulated firms

   Published: 06/07/2015

   Last modified: 06/02/2023

   The Senior Managers and Certification Regime (SM&CR) changed how people working in financial services are regulated. See how it applies to your firm.

8. The expanding scope of individual accountability for corporate misconduct

   Speeches

   Published: 03/04/2017

   Last modified: 05/04/2017

   Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement

9. Changes in mortgage regulation

   Speeches

   Published: 11/11/2015

   Last modified: 11/11/2015

   Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations, delivered at the Council of Mortgage Lenders conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

10. CP16/1: Consequential changes to the Senior Managers Regime

    Consultation papers

    Published: 06/01/2016

    Last modified: 02/03/2016

    CP16/1: Consequential changes to the Senior Managers Regime. Consultation papers First published:. ... CP16/1: Consequential changes to the Senior Managers Regime.