Filter results
Category
Filter by document type
Document type
Filter by year
Sort by:

Search results

Showing 71 to 80 of 535 search results for Changes to the Senior Managers Regime.

  1. Sole advisers

    Sole advisers Last modified: 23/09/2021
    Sole advisers
  2. Regulation round-up March 2016

    Newsletters Published: 17/03/2016 Last modified: 17/03/2016
    Senior Managers Regime (SMR). Customer transactions. PS: Consequential changes to the SMR. ... Senior Managers Regime. FCA: Live & Local.
  3. FCA proposes new measures to maintain firms’ focus on culture

    Press Releases Published: 28/09/2016 Last modified: 28/09/2016
    The Financial Conduct Authority (FCA) will mark six months since the implementation of the Senior Managers’ and Certification Regime by providing feedback on implementation so far and proposing measures to further strengthen the regime. The
  4. Transparency

    How we operate Published: 06/04/2016 Last modified: 02/06/2021
    The FCA sets out to be as open and accountable as possible, so it can be scrutinised by consumers, firms and Parliament. To do this the FCA publishes information about regulated firms and individuals, or it requires firms and individuals to do so.
  5. Culture and conduct - extending the accountability regime

    Speeches Published: 20/09/2017 Last modified: 20/09/2017
    Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at City and Financial Summit, London.
  6. Regulation round-up August 2017

    Newsletters Published: 17/08/2017 Last modified: 17/08/2017
    Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.
  7. Directory of certified and assessed persons

    Tasks for regulated firms Published: 05/09/2019 Last modified: 12/07/2021
    Under the Senior Managers and Certification Regime (SM&CR), we will publish and maintain a directory of certified and assessed persons on the Financial Services Register, so consumers and professionals can check the details of key individuals
  8. Claims management companies

    Claims management companies Last modified: 23/09/2021
    On 1 April 2019 the FCA will become the regulator of claims management companies in England, Wales and Scotland. Find out more.
  9. Life insurers and pension providers

    Life insurers and pension providers Last modified: 23/09/2021
    Life insurers and pension providers
  10. Culture and governance

    Tasks for regulated firms Firms Published: 12/05/2015 Last modified: 03/08/2020
    Read about the FCA's work on culture and governance, including details of how to get involved.