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Showing 12 to 21 of 219 search results for Enforcement investigations and the Senior Managers Regime.

  1. Should you invest?

    Get your immediate finances in order before you invest. Pay off any short-term debt, have an emergency cash fund and consider investing more in your pension.

  2. Chief Executive speaks at APM about recent work and future challenges

    Speeches Published: 20/07/2016 Last modified: 20/07/2016
    Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting.

  3. Open enforcement investigations information - October 2020

    FOI Release Date of Release: 12/10/2020
    FCA provides information on the number of open enforcement investigations.

  4. Information on enforcement investigations under SMR - June 2022

    FOI Release Date of Release: 06/06/2022
    The FCA answers multiple questions on enforcement investigations under the Senior Managers and Certification Regime.

  5. 2018 Disclosure Log

    Last modified: 14/09/2020
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2018. 

  6. Our investigations – the evolving approach

    Speeches Published: 15/06/2017 Last modified: 15/06/2017
    Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum.

  7. The number of enforcement cases against Senior Managers under SMCR - April 2020

    FOI Release Date of Release: 06/04/2020
    The FCA provides information on the number of enforcement cases against Senior Managers.

  8. Information on the Senior Managers Certification Regime fines - April 2022

    FOI Release Date of Release: 22/04/2022
    The FCA provides information on how many fines were issued to Senior managers.

  9. Information on nonfinancial misconduct and SMCR investigations - June 2022

    FOI Release Date of Release: 14/06/2022
    The FCA provides data on nonfinancial misconduct and SMCR investigations.

  10. Information on open FCA enforcement investigations - December 2020

    FOI Release Date of Release: 21/12/2020
    The FCA provides a breakdown by category of all open FCA investigations as at the 23 November 2020.

  11. Information on the number of individuals who currently come under the Senior Managers Regime - May 2020

    FOI Release Date of Release: 22/05/2020
    FCA provides information on the number of individuals who currently come under the Senior Managers Regime.