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Showing 61 to 70 of 185 search results for legal function under the Senior Managers Regime.
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Information on enforcement investigations into Senior Managers - May 2022
The FCA responds to multiple questions on enforcement investigations into Senior Managers. -
Directory of certified and assessed persons
Find out how you can prepare and amend your certified and assessed person submission, and why it's important to confirm your details. -
Information on the number of individuals who currently come under the Senior Managers Regime - May 2020
FCA provides information on the number of individuals who currently come under the Senior Managers Regime. -
Whistleblowing in practice: Case studies
Are you thinking about blowing the whistle on wrongdoing? Find out how whistleblowing can help the FCA to act and how the FCA protects other firms. -
Approved Persons Regime (APR) and coronavirus: our expectations
We set out our expectations to help benchmark administrators and firms using Appointed Representative (AR) arrangements apply the Approved Persons Regime (APR) during coronavirus (Covid-19). -
Supervision of UK regulated covered bonds
Find out about our role supervising regulated covered bond programmes and regulated covered bonds, key features of the regime and stress testing. -
Compliance, Culture and Evolving Regulatory Expectations
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight. -
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). -
FCA consults on how firms and individuals will transition to the Senior Managers and Certification Regime
The Financial Conduct Authority (FCA) has today published a package of proposals on how firms and individuals will move to the Senior Managers and Certification Regime. The aim of the new regime is to make individuals more accountable for their -
Information on enforcement investigations under SMR - June 2022
The FCA answers multiple questions on enforcement investigations under the Senior Managers and Certification Regime.