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Showing 161 to 170 of 391 search results for Extending the Senior Managers Regime.

  1. FCA statement on proposals to introduce a public register

    Statements Published: 26/02/2018 Last modified: 26/02/2018
    Later this year, the Financial Conduct Authority (FCA) will consult on proposals to make information available on a wider range of individuals at authorised firms.

  2. Operational Resilience

    Tasks for firms Published: 17/05/2017 Last modified: 04/03/2024
    We set out the requirements of our policy and how to report an operational disruption.

  3. Overall responsibility and the legal function: DP16/4

    Discussion papers Published: 28/09/2016 Last modified: 23/01/2019
    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.

  4. Dear CEO letter: Authorised push payment (APP) fraud [pdf]

    Correspondence Published: 31/01/2018
    We have published a Dear CEO letter about authorised push payment (APP) fraud and the APP Best Practice Standards developed by UK Finance, asking firms to consider how they are tackling APP fraud within the context of the Senior Managers &

  5. Data on enforcement investigations, including into senior managers - June 2022

    FOI Release Date of Release: 06/06/2022
    The FCA answers mutiple questions regarding enforcement investigations, including into Senior Managers.

  6. Dealing commission

    Speeches Published: 10/07/2014 Last modified: 10/07/2014
    Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA conference on dealing commission in London. This is the text of the speech as drafted, which may differ from the delivered version.

  7. Information on investigations into breaches of COCON - May 2022

    FOI Release Date of Release: 27/05/2022
    The FCA provides data on how many investigations into breaches of COCON it has opened since the inception of the Conduct Rules under SMCR.

  8. 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.

  9. The Senior Managers and Certification Regime: Guide for FCA solo-regulated firms [pdf]

    Policy statements Published: 04/07/2018

  10. Regulating the funeral plans sector

    Firms Published: 05/02/2021 Last modified: 04/12/2023
    The FCA regulates pre-paid funeral plans, which means any funeral plan provider or intermediary must be authorised. Find out what this means for your firm.
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