Search results
Showing 81 to 90 of 177 search results for currently come under the Senior Managers Regime.
-
Principals and appointed representatives
If you’re a principal firm for an appointed representative (AR), find out what your responsibilities are and when to notify the FCA. -
Information on open FCA enforcement investigations - December 2020
The FCA provides a breakdown by category of all open FCA investigations as at the 23 November 2020. -
Confidence to crisis and back
Speech by Martin Wheatley, CEO of the Financial Conduct Authority, delivered at the IOSCO conference in London. This is the text of the speech as drafted, which may differ from the delivered version. -
SM&CR and coronavirus: our expectations for solo-regulated firms - December 2020 update
In April 2020, we set out our expectations to help solo-regulated firms apply the SM&CR following the exceptional circumstances arising from the coronavirus pandemic (Covid-19). We offered some additional flexibility in the application of the SM&CR -
Our approach to international firms
Find out what standards we expect from international firms providing financial services in the UK, or preparing to apply for full UK authorisation. -
UK EMIR news
Read our archive of news relating to EMIR dating back to August 2013. -
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. -
Outlining the FCA’s approach to authorisation
Speech by Sarah Rapson, Director, Authorisations at the Association of Professional Compliance Consultants (APCC) Annual Conference. -
Primary Market Bulletin Issue No. 30
In this special edition, we publish general news and information, including changes to our Knowledge Base. -
Sustainability
the Senior Managers and Certified Persons Regimes. ... The new regime will increase accountability of individuals in positions of responsibility and raise standards of governance.