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Showing 41 to 50 of 185 search results for legal function under the Senior Managers Regime.

  1. Investing in outcomes: a regulatory approach to deliver for consumers, markets and competitiveness

    Speeches Published: 14/03/2024 Last modified: 14/03/2024
    Speech by Nikhil Rathi, FCA Chief Executive delivered at the Morgan Stanley European Financials Conference.

  2. CP19/4: Optimising the Senior Managers & Certification Regime and feedback to DP16/4 – Overall responsibility and the legal function [pdf]

    Consultation papers Published: 23/01/2019

  3. Senior Managers and Certification Regime

    Tasks for regulated firms Published: 06/07/2015 Last modified: 06/02/2023
    The Senior Managers and Certification Regime (SM&CR) changed how people working in financial services are regulated. See how it applies to your firm.

  4. SM&CR: Form K user guide for Enhanced firms [pdf]

    Published: 11/10/2019
    Form K is the conversion notification form. It enables firms to tell us which approved individuals they wish to convert from the Approved Persons Regime (APR) to corresponding Senior Management Functions (SMFs) under the Senior Managers &

  5. SM&CR: Form K user guide for Core Firms with a CF2 who require a non-executive chair (SMF9) [pdf]

    Published: 11/10/2019
    Form K is the conversion notification form. It enables firms to tell us which approved individuals they wish to convert from the Approved Persons Regime (APR) to corresponding Senior Management Functions (SMFs) under the Senior Managers &

  6. Information on enforcement investigations into senior managers - May 2022

    FOI Release Date of Release: 27/05/2022
    The FCA answers questions multiple questions on enforcement investigations into senior managers.

  7. Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of solo-regulated firms

    Statements Published: 03/04/2020 Last modified: 22/09/2022
    We recognise that firms directly affected by coronavirus (Covid-19) will need to keep their governance arrangements under review and make appropriate changes as circumstances change

  8. Transparency

    How we operate Published: 06/04/2016 Last modified: 20/12/2021
    The FCA sets out to be as open and accountable as possible, so it can be scrutinised by consumers, firms and Parliament. To do this the FCA publishes information about regulated firms and individuals, or it requires firms and individuals to do so.

  9. FCA introduces new rules on whistleblowing

    Press Releases Published: 06/10/2015 Last modified: 19/04/2016
    The Accountability Regime in relevant authorised persons. The Senior Managers Regime focuses on individuals who hold key roles and responsibilities in relevant firms. ... Individuals subject to either the Senior Managers Regime or the Certification

  10. Regulated covered bonds

    Firms Regulated markets Published: 13/05/2016 Last modified: 08/02/2023
    Covered bonds are a type of secured bond usually backed by mortgages or public sector loans. Read about the UK regulated covered bonds regime.