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Showing 41 to 50 of 719 search results for Senior Managers Regime will.
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Vote Reporting Group
Find out how the group aims to improve shareholder vote reporting by UK asset managers. -
Fair and effective markets review
First, the Senior Managers and Certification Regime. The parliamentary commission I referred to earlier recommended the creation of a new regime to ensure greater accountability of senior staff at Banks, Building ... For example, asset managers, -
What can the consumer credit sector expect from the FCA?
Speech by Jonathan Davidson, Executive Director of Supervision – Retail and Authorisations, at the Credit Summit, London. -
Examining the future of anti-money laundering regulations
Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015 -
Information on enforcement investigations opened against individuals (SMR) - May 2022
The FCA provides data on enforcement investigations opened against individuals (SMR). -
REP008: Conduct Rules reporting for solo-regulated firms
Under the Senior Managers and Certification Regime (SM&CR), solo-regulated firms need to tell us whether disciplinary action has been taken against individuals, who aren't Senior Managers, for Conduct Rules breaches. -
Rules that apply to firms in SRO and fund operators in the TMPR
We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR). -
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. -
CP17 /41: Individual accountability: Transitioning insurers and individuals to the Senior Managers & Certification Regime [pdf]
We are consulting on how FSMA authorised firms and individuals will move to the Senior Managers and Certification Regime. -
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.