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Showing 121 to 130 of 391 search results for Extending the Senior Managers Regime.

  1. FS16/6: Senior Managers and Certification Regime: Feedback for all UK banks, investment firms and building societies [pdf]

    Feedback statements Published: 28/09/2016
    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.

  2. FS16/7: Senior Managers and Certification Regime: Feedback for branches of banks from outside the European Economic Area [pdf]

    Feedback statements Published: 28/09/2016 Last modified: 28/09/2016
    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.

  3. FS16/8: Senior Managers and Certification Regime: Feedback for branches of banks from within the European Economic Area [pdf]

    Feedback statements Published: 28/09/2016
    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.

  4. Event costs

    Last modified: 08/04/2024
    Overall approximate costs for public events that we organise and publicise, from April 2013 onwards.

  5. Firms

    Firms Last modified: 27/07/2022
    Tasks for regulated firms and authorisation information for new firms

  6. Approved Persons Regime

    Tasks for firms Published: 12/05/2015 Last modified: 27/04/2023
    Approved persons carry out certain activities on a firm's behalf and must be regulated by us. Learn about our requirements, conduct rules and 'fit and proper' test.

  7. Accountability, from debate to reality

    Speeches Published: 14/07/2015 Last modified: 19/04/2016
    Speech by Martin Wheatley, CEO of the Financial Conduct Authority, delivered at the City & Financial conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  8. Transparency

    How we operate Published: 06/04/2016 Last modified: 20/12/2021
    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.

  9. Personal accountability

    Speeches Published: 02/12/2015 Last modified: 19/04/2016
    Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the City & Financial conference on Personal Accountability in the Financial Services Industry, 2 December 2015, London. This is the text of the speech as drafted, which may differ

  10. Recognised industry codes

    About us How we regulate Published: 20/07/2018 Last modified: 19/11/2021
    Read about our process for recognising industry codes of conduct, which we describe as 'FCA-recognised industry codes'.
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