Search
Searching Content by Nikki Lovejoy ordered by Published Date Descending.
Links to Result pages
 
1  
 
Title
Country
Organisation
Author
Date
1
New Prudential Regime For Investment Firms | Little Detail Yet
Last week the EBA released a discussion paper (DP) setting out possible options for a new prudential regime for investment firms, particularly those that are not deemed "systemic and bank-like".
UK
16 Nov 2016
2
MIFID II Changes For CASS | Understanding The Impact And Preparing For Change
Will the impact of changes to the CASS rules be small for every firm? With so much else to consider as part of MiFID II implementation, investment firms could be forgiven for overlooking proposed changes...
UK
1 Nov 2016
3
Senior Managers And Certification Regime | Changes To Functions, Responsibilities And Scope Of Conduct Rules
On 28 September, the Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) issued a suite of publications setting out a number of proposed amendments...
UK
25 Oct 2016
4
Notification Of Conduct Rule Breaches | Holding Individuals To Account
Firms subject to Senior Managers and Certification Regimes (SMCR) are obligated to capture, assess, and report breaches of Conduct Rules by individuals who are in scope of the rules.
UK
7 Sep 2016
5
FCA Publishes Business Plan | What To Expect From The FCA In 2016-17
The FCA published its 2016-17 Business Plan on 5 April. The document is shorter and less detailed than in previous years, with only a brief Risk Outlook section, and makes limited announcements of new work.
UK
12 Apr 2016
6
Navigating MiFID II - Strategic Decisions For Investment Managers
MiFID II will have significant and wide-ranging implications for the strategy, operations, conduct and governance of a broad range of firms in Europe.
UK
1 Nov 2015
7
The Financial Conduct Authority Goes Prudential
Last week the FCA held its first ever Prudential Supervision Forum.
UK
27 May 2015
8
Senior Managers Regime - Top Five Lessons Learned
There can be many devils in the detail, some of which will only become apparent once work has begun, and these are best dealt with well before 8 February 2016.
UK
2 Apr 2015
9
UK Regulators Refine The Scope Of The Senior Managers Regime And Clarify How The ‘Presumption Of Responsibility’ Will Be Applied
The regulators have confirmed that under the revised approach, only the following NEDs in relevant authorised banks, building societies and insurers will be subject to pre-approval and inclusion in the SMR...
UK
27 Feb 2015
10
Individual Accountability In UK Banking - Details Of Senior Management And Certification Regimes Emerge
The PRA and FCA have published a paper on the overhaul of the Approved Persons Regime for banks, building societies, credit unions, and PRA-designated investment firms.
UK
5 Aug 2014
11
Consumer Credit Regulation - Going Beyond CONC
On 1 April 2014, the Financial Conduct Authority assumed responsibility for the regulation of consumer credit activities.
UK
30 Apr 2014
12
Regulatory Attestations | Five Key Factors To Consider When Providing An Attestation
Across the UK financial services sector we are increasingly seeing instances of CEOs, chairmen, Boards and other senior executives being required to provide written attestations to the Financial Conduct Authority.
UK
25 Sep 2013
Links to Result pages
 
1