Search results
Showing 41 to 50 of 523 search results for Senior Managers Regime applications.
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2019 Disclosure Log
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 2019. -
SM&CR categorisation for solo-regulated firms
Under SM&CR, solo-regulated firms are categorised as limited scope, core or enhanced. Find out which category your firm is in and how you can review this. -
FCA introduces new rules on whistleblowing
The Accountability Regime in relevant authorised persons. The Senior Managers Regime focuses on individuals who hold key roles and responsibilities in relevant firms. ... Individuals subject to either the Senior Managers Regime or the Certification -
Appointing intermediaries if you’re a funeral plan provider
Find out how to appoint intermediaries to distribute and sell your plans. -
Regulating the funeral plans sector
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. -
Approved Persons help text: Connect
Read the FCA Connect help text for Approved Persons. -
Consumer Duty – information for firms
To help firms implement the Duty, we explain more on the areas of the Duty that we have been receiving firm queries on which are relevant for the wider market. -
Looking ahead to 2014
Speech by Martin Wheatley, Chief Executive of the FCA, at the ICI Global Trading and Market Structure Conference. This is the text of the speech as drafted, which may differ from the delivered version. -
Chief Executive speaks at APM about recent work and future challenges
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting. -
Authorisation and registration application fees
Find out how much your firm’s application fee will be to become authorised by us, or registered with us.