Search results
Showing 161 to 170 of 400 search results for extend the Senior Managers Regime.
-
Debating trust and confidence in banking
Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the ResPublica Vocational Banking event in London. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA proposes new measures to maintain firms’ focus on culture
The Financial Conduct Authority (FCA) will mark six months since the implementation of the Senior Managers’ and Certification Regime by providing feedback on implementation so far and proposing measures to further strengthen the regime. The -
Operational Resilience
We set out the requirements of our policy and how to report an operational disruption. -
Information on enforcement investigations into senior managers - May 2022
The FCA answers questions multiple questions on enforcement investigations into senior managers. -
Dear CEO letter: Authorised push payment (APP) fraud [pdf]
We have published a Dear CEO letter about authorised push payment (APP) fraud and the APP Best Practice Standards developed by UK Finance, asking firms to consider how they are tackling APP fraud within the context of the Senior Managers & -
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. -
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. -
FCA proposes new Directory of financial services workers
The Financial Conduct Authority (FCA) has today proposed a new Directory to help consumers and firms check the status and history of individuals working in financial services. -
Information on investigations into breaches of COCON - May 2022
The FCA provides data on how many investigations into breaches of COCON it has opened since the inception of the Conduct Rules under SMCR. -
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.