Search results
Showing 81 to 90 of 651 search results for including the Senior Managers Regime.
-
Side pockets
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. -
Dealing commission
Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA conference on dealing commission in London. This is the text of the speech as drafted, which may differ from the delivered version. -
Information on financial services partnerships - November 2022
FCA provides information on financial services partnerships. -
FCA launches enhanced Financial Services Register to protect consumers
The FCA has today launched its updated Financial Services (FS) Register – including a simpler design and clearer language. -
The FCA’s role in preparing for Brexit
Further to the announcement from the Treasury on its approach to amending financial services legislation under the European Union (Withdrawal) Act, this statement provides stakeholders with an update on how we are preparing for the UK leaving the -
CP15/31: Strengthening accountability in banking and insurance: regulatory references
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). -
Rolling regulation forwards
Speech by Nikhil Rathi, FCA Chief Executive delivered at the UK Finance annual dinner. -
Onshoring updates to our Handbook and Technical Standards
We explain how we’ve prepared our Handbook and Technical Standards for the end of the transition period. -
Principals and appointed representatives
If you’re a principal firm for an appointed representative (AR), find out what your responsibilities are and when to notify the FCA. -
FCA publishes final rules to make those in the banking sector more accountable
The final rules cover the Senior Managers Regime; the Certification Regime; and new Conduct Rules. ... In particular:. The Senior Managers Regime focuses on individuals who hold key roles and responsibilities in relevant firms.