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Showing 81 to 90 of 719 search results for Senior Managers Regime will.
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FCA statement on proposals to introduce a public register
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. -
Dealing commission
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. -
Our investigations – the evolving approach
Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum. -
Wholesale markets firm applicants
If you're a wholesale investment firm, you have to be authorised by us. Learn how to prepare your application and what you need to read first. -
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. -
Rolling regulation forwards
Speech by Nikhil Rathi, FCA Chief Executive delivered at the UK Finance annual dinner. -
Overall responsibility and the legal function: DP16/4
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. -
Market Watch 66
In this Market Watch, we set out our expectations for firms on recording telephone conversations and electronic communications when alternative working arrangements are in place, including increased homeworking. -
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. -
Side pockets
Side pockets could affect anyone who invests in funds that are exposed to Russian assets. Find out more about how side pockets work and what investors can expect.