Uk Financial Conduct Authority Proposes To Exclude The Head Of The Legal Function From The Senior Managers Regime | Latest News RSS feed

Uk Financial Conduct Authority Proposes To Exclude The Head Of The Legal Function From The Senior Managers Regime - Latest News


FCA receives muted response to senior manager consultation

The Financial Conduct Authority ... whether the position of head of legal should be excluded from approval under the regime, feedback on the FCA's cost benefit analysis of proposed rules and extending ... read more

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The Senior Managers & Certification Regime

... accountability in financial services firms—the Senior Managers & Certification Regime (SM&CR). The SM&CR has been in force for firms regulated by both the UK Financial Conduct Authority (FCA) the ... read more

Senior Managers & Certification Regime: The FCA Publishes Near-Final Rules For FCA Solo-Regulated Firms

The SMCR will replace the current Approved Persons Regime on 9 December 2019 ... It will apply to anyone who performs a senior management function (SMF), whether they are based in the UK or overseas. read more

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FCA clarifies accountability rules for overseas banks

The UK’s Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have announced draft rules for how the new senior management accountability regime ... on senior managers’ ... read more


UK Insurers, Banks to Get Regulatory Transition Period in Event of Hard Brexit

British regulators will give banks, asset managers, insurers and brokers until mid-2020 to fully comply with rules that replace European Union law in the event of a no-deal Brexit. The Bank of England ... read more

CULTURE AND CONDUCT RISK REPORT 2018: Executive summary and regulatory developments

The compliance function (22 percent ... In the UK, both the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) launched consultations on extending the Senior Managers and ... read more

FCA Looks To Bulk Up Senior Manager Rules 6 Months In

Law360, London (September 28, 2016, 2:43 PM BST) -- The Financial Conduct Authority proposed new ... concerns that including the head of legal within the regime would interfere with the firms' legal ... read more

City watchdog confirms in-house accountability exclusion

A new regime to hold top executives to account for corporate misdeeds will not extend to heads of legal, the Financial Conduct Authority confirmed today. The Senior ... proposed changes to the [regime ... read more

FCA TPR Notification Window Now Open for EEA-Passported Firms and Fund Managers

On January 7, the UK Financial Conduct Authority (FCA) announced that the notification window for the temporary permissions regime (TPR) is now open ... European Economic Area (EEA)-based firms or ... read more

Six things to look out for in the FCA’s asset management review

June 28 will be a momentous day for the UK’s £7tn asset management industry. The Financial Conduct Authority will publish new ... The FCA might also decide to extend the Senior Managers and ... read more

'Sigh of relief' as GCs escape City accountability regime

The Financial Conduct Authority parked plans to include GCs in its Senior Managers Regime last year. However, today the watchdog proposed ... legal function is included in the regime. In a ... read more

Ten things UK/EU compliance officers must do in 2012

In the UK ... that senior managers are fully informed of any and all conduct risks arising. Given the increased focus on conduct risks, firms may wish to split out the MI arising from the analysis of ... read more



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