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Showing 61 to 70 of 651 search results for including the Senior Managers Regime.

  1. 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.

  2. Debating trust and confidence in banking

    Speeches Published: 28/05/2015 Last modified: 28/05/2015
    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.

  3. 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.

  4. 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.

  5. Open enforcement investigations information - October 2020

    FOI Release Date of Release: 12/10/2020
    FCA provides information on the number of open enforcement investigations.

  6. Wholesale markets firm applicants

    Firm authorisation Published: 04/07/2023 Last modified: 24/04/2024
    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.

  7. Information on enforcement investigations into Senior Managers - May 2022

    FOI Release Date of Release: 26/05/2022
    The FCA responds to multiple questions on enforcement investigations into Senior Managers.

  8. AI: Flipping the coin in financial services

    Speeches Published: 05/10/2023 Last modified: 05/10/2023
    Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at the City and Financial Global AI Regulation Summit 2023.

  9. Information on enforcement investigations under SMR - June 2022

    FOI Release Date of Release: 06/06/2022
    The FCA answers multiple questions on enforcement investigations under the Senior Managers and Certification Regime.

  10. 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.