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Showing 231 to 240 of 403 search results for extend the Senior Managers Regime.

  1. Overview of the FCA prudential approach

    Speeches Published: 21/05/2015 Last modified: 21/05/2015
    Speech by Nausicaa Delfas, Director of Specialist Supervision at the FCA, delivered at the first FCA Prudential Supervision Forum. This is the text of the speech as drafted, which may differ from the delivered version.

  2. Robo Advice: an FCA perspective

    Speeches Published: 02/11/2017 Last modified: 02/11/2017
    Speech by Bob Ferguson, Head of Department, Strategy & Competition Division, FCA

  3. FCA publishes final report into asset management sector

    Press Releases Published: 28/06/2017 Last modified: 28/06/2017
    The Financial Conduct Authority (FCA) has today published the final findings of its asset management market study and announced the package of remedies it will take forward to address the concerns identified in its interim report into the sector.

  4. Submit a change in control notification

    Tasks for firms Published: 12/10/2019 Last modified: 13/12/2023
    Find out how to prepare your notification and understand what happens after you submit it.

  5. CP15/31: Strengthening accountability in banking and insurance: regulatory references

    Consultation papers Published: 06/10/2015 Last modified: 08/12/2015
    Senior management functions under the Senior Managers Regime (SMR). Significant harm functions under the Certification Regime (CR). ... PRA senior insurance management functions under the Senior Insurance Managers Regime (SIMR).

  6. Binary options scams

    Consumers Scams Published: 10/08/2017 Last modified: 20/03/2023
    Find out how binary options work, how to avoid scams and what to do if you’re scammed.

  7. The number of enforcement cases against Senior Managers under SMCR - April 2020

    FOI Release Date of Release: 06/04/2020
    The FCA provides information on the number of enforcement cases against Senior Managers.

  8. Building better foundations in AI

    Speeches Published: 24/01/2023 Last modified: 24/01/2023
    Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at The Alan Turing Institute’s Framework for Responsible Adoption of Artificial Intelligence in the Financial Services Industry event.

  9. FCA sets out its priorities for 2019/20

    Press Releases Published: 17/04/2019 Last modified: 13/03/2024
    The FCA published our Business Plan for 2019/20, outlining key priorities for the year.

  10. Outlining the FCA’s approach to authorisation

    Speeches Published: 15/03/2018 Last modified: 15/03/2018
    Speech by Sarah Rapson, Director, Authorisations at the Association of Professional Compliance Consultants (APCC) Annual Conference.
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