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Showing 171 to 180 of 401 search results for extend the Senior Managers Regime.

171. Information on investigations into breaches of COCON - May 2022

     FOI Release Date of Release: 27/05/2022
     The FCA provides data on how many investigations into breaches of COCON it has opened since the inception of the Conduct Rules under SMCR.

172. Overall responsibility and the legal function: DP16/4

     Discussion papers Published: 28/09/2016 Last modified: 23/01/2019
     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.

173. Our investigations – the evolving approach

     Speeches Published: 15/06/2017 Last modified: 15/06/2017
     Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum.

174. Market Watch 66

     Newsletters Published: 11/01/2021 Last modified: 22/01/2021
     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.

175. Data on enforcement investigations, including into senior managers - June 2022

     FOI Release Date of Release: 06/06/2022
     The FCA answers mutiple questions regarding enforcement investigations, including into Senior Managers.

176. The Senior Managers and Certification Regime: Guide for FCA solo-regulated firms [pdf]

     Policy statements Published: 04/07/2018

177. Side pockets

     Consumers Your rights Published: 08/09/2022 Last modified: 20/03/2023
     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.

178. Transforming culture in financial services

     Speeches Published: 19/03/2018 Last modified: 19/03/2018
     Speech by Andrew Bailey, Chief Executive of the FCA, at the Transforming culture in financial services conference.

179. Looking ahead to 2014

     Speeches Published: 09/12/2013 Last modified: 09/12/2013
     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.

180. Compliance, Culture and Evolving Regulatory Expectations

     Speeches Published: 26/04/2021 Last modified: 26/04/2021
     Speech by Mark Steward, Executive Director of Enforcement and Market Oversight.