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Showing 151 to 160 of 403 search results for extend the Senior Managers Regime.

151. Guidance on the duty of responsibility: PS17/9

     Policy statements Published: 28/09/2016 Last modified: 03/05/2017
     In this Policy Statement, we set out guidance in the Decision Procedure and Penalties Manual (DEPP) on how we will enforce the ‘duty of responsibility’.

152. SM&CR: Form K user guide for Core Firms with a CF2 who require a non-executive chair (SMF9) [pdf]

     Published: 11/10/2019
     Form K is the conversion notification form. It enables firms to tell us which approved individuals they wish to convert from the Approved Persons Regime (APR) to corresponding Senior Management Functions (SMFs) under the Senior Managers &

153. 2018 Disclosure Log

     Last modified: 14/09/2020
     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 2018. 

154. Extending the Senior Managers and Certification Regime: Cost-Benefit Analysis [pdf]

     Research insights Published: 04/07/2018

155. Culture and governance

     Firms Tasks for regulated firms Published: 12/05/2015 Last modified: 09/02/2023
     Read about the FCA's work on culture and governance, including details of how to get involved.

156. Directory of certified and assessed persons

     Tasks for regulated firms Published: 04/09/2019 Last modified: 10/02/2023
     Find out how you can prepare and amend your certified and assessed person submission, and why it's important to confirm your details.

157. AIFMD updates

     Focus areas Published: 08/06/2016 Last modified: 05/07/2023
     There are several updates the FCA has published on Alternative Investment Fund Managers Regulations. Find out about the FCA's updated guides and forms.

158. FCA statement on the publication of the FX Global Code

     Statements Published: 25/05/2017 Last modified: 25/05/2017
     The FCA welcomes today’s publication of the FX Global Code. As we set out in our Mission, standards can be a useful way for the industry to police itself in support of our regulatory work and can help firms to communicate expectations of

159. Financial Services Register

     Registers and systems Published: 28/04/2016 Last modified: 04/11/2022
     The Financial Services Register is a public record of firms, individuals and other bodies that are PRA and/or FCA authorised. Search the register to find out if a firm is registered.

160. Appointing intermediaries if you’re a funeral plan provider

     Firms Tasks for firms Published: 02/05/2021 Last modified: 01/11/2023
     Find out how to appoint intermediaries to distribute and sell your plans.