Publications
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CP16/26: Guidance on the duty of responsibility: amendments to the Decision Procedure and Penalties Manual [pdf]
We are consulting on proposals to amend the Decision Procedure and Penalties Manual (DEPP) that will give guidance on how we will enforce the ‘duty of responsibility’. -
CP16/25: Whistleblowing in UK branches of overseas banks [pdf]
We are consulting on our proposed approach to apply new whistleblowing requirements to UK branches of overseas banks. It does not apply to UK branches of overseas insurers. -
PS16/22: Strengthening accountability in banking and insurance: regulatory references final rules [pdf]
We are publishing our final rules on regulatory references. -
Guidance on the duty of responsibility: PS17/9
In this Policy Statement, we set out guidance in the Decision Procedure and Penalties Manual (DEPP) on how we will enforce the ‘duty of responsibility’. -
PS17/10: Remuneration in CRD IV firms
In this Policy Statement we publish our final rules and guidance to help firms understand the rules that apply to their remuneration policies and practices. -
Overall responsibility and the legal function: DP16/4
In September 2016, we launched Discussion Paper DP16/4 to clarify how and why the legal function is currently captured under the Senior Managers and Certification Regime (SM&CR) and to consider whether it should continue to be part of the regime. -
Whistleblowing in UK branches of foreign banks: PS17/7
This Policy Statement introduces our final rules on whistleblowing requirements for UK branches of foreign banks. It does not apply to UK branches of overseas insurers. -
Strengthening accountability in banking and insurance: regulatory references final rules: PS16/22
We are publishing our final rules on regulatory references. -
Senior Managers and Certification Regime: supervisory review
We are reporting the findings of our in-depth supervisory review of the Statements of Responsibilities (SoRs) and responsibilities maps supplied with grandfathering notifications for firms. -
Applying conduct rules to all non-executive directors in the banking and insurance sectors: PS17/8
This Policy Statement (PS) introduces final rules to extend our Code of Conduct sourcebook (COCON) to standard non-executive directors (NEDs) in banks, building societies, credit unions and dual-regulated investment firms (‘banks’) and insurance