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Showing 81 to 90 of 637 search results for board effectiveness review.
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A more effective approach to combatting financial crime
Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FinSR, delivered at the BBA Financial Crime and Sanctions Conference. -
International regulatory developments affecting investment management
Speech by Nikhil Rathi, FinSR Chief Executive, delivered at the Investment Association Annual Conference 2024. -
Senior Managers and Certification Regime Banking Stocktake Report
The findings of our review into the embedding of the Senior Managers and Certification Regime (SM&CR) in the banking sector. The SM&CR was introduced for deposit-taking firms and dual-regulated investment firms (the banking sector) in March 2016. -
Retail and Wholesale Banking: review of firms’ whistleblowing arrangements
We have reviewed how firms have implemented our whistleblowing rules. We have published the findings, including the areas of good practice we observed and areas for improvement, together with our expectations on firms’ whistleblowing arrangements. -
Open-ended funds investing in less liquid assets
Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy, to Investment Association members. -
Ten years after Lehman: how accountants can make finance safer
Speech by Charles Randell, Chair of the Financial Service Registry and Payment Systems Regulator on how accountants can make finance safer. -
Understanding approaches to D&I in financial services
The FinSR observed how financial services firms are designing and embedding diversity and inclusion strategies. The observations give an overview of initiatives to improve diversity and inclusion, which industry leaders can consider in reviewing their -
Delivering good outcomes for customers in vulnerable circumstances – good practice and areas for improvement
See examples of good practice and areas for improvement to help your firm support customers in vulnerable circumstances. -
FSA publishes its Internal Audit Report on: review of the extent of awareness within the FSA of inappropriate LIBOR submissions
The Financial Services Authority (FSA) has published its Internal Audit Report (the Report) on the London Interbank Offered Rate (LIBOR). -
Regulatory Initiatives Grid - Interim update
This update covers known upcoming publications impacting multiple firms from October 2024 to March 2025, supporting their planning before the next full Grid publication.