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Showing 61 to 70 of 476 search results for cover the Senior Managers Regime.
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Fast-growing firms (FGFs) multi-firm review
We summarise our findings and set out our expectations of FCA solo-regulated fast-growing firms to identify, assess and manage the risks arising from their activities. -
Primary Market Bulletin Issue No. 30
In this special edition, we publish general news and information, including changes to our Knowledge Base. -
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. -
PS19/7: Finalising the Directory
This Policy Statement sets out the final rules on the Directory, a new public register for checking the details of key individuals working in the financial services. It also summarises the feedback we received to Consultation Paper CP18/19 and our -
Highlights of the FCA’s new approach in 2021
Our mission is to protect consumers from harm, enhance the integrity of the UK’s financial system and promote competition. We are continuing to pursue these objectives while also working to become a more innovative, adaptive and assertive regulator -
MiFID II: product governance review
In this MiFID II review we looked at product governance in a sample of 8 asset management firms. -
The hallmarks of a future-fit workforce
Speech by Emily Shepperd, Chief Operating Officer and Executive Director of Authorisations at TheCityUK and Financial Services Skills Commission Future Skills Conference. -
AI: Flipping the coin in financial services
Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at the City and Financial Global AI Regulation Summit 2023. -
Agile regulation and planning for success
Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at CISI/The Financial Planning Conference 2022 -
Information on nonfinancial misconduct and SMCR investigations - June 2022
The FCA provides data on nonfinancial misconduct and SMCR investigations.