Search results
Showing 81 to 90 of 185 search results for legal function under the Senior Managers Regime.
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Information on enforcement investigations opened against individuals (SMR) - May 2022
The FCA provides data on enforcement investigations opened against individuals (SMR). -
Operational Resilience
We set out the requirements of our policy and how to report an operational disruption. -
Information on nonfinancial misconduct and SMCR investigations - June 2022
The FCA provides data on nonfinancial misconduct and SMCR investigations. -
SM&CR and coronavirus: our expectations for solo-regulated firms - December 2020 update
In April 2020, we set out our expectations to help solo-regulated firms apply the SM&CR following the exceptional circumstances arising from the coronavirus pandemic (Covid-19). We offered some additional flexibility in the application of the SM&CR -
PS19/20: Optimising the Senior Managers & Certification Regime and feedback to CP19/4
The Senior Managers & Certification Regime (SM&CR) was introduced for banking firms in 2016 and insurers in December 2018. It will apply to solo-regulated firms from December 2019. -
Looking ahead to 2014
Speech by Martin Wheatley, Chief Executive of the FCA, at the ICI Global Trading and Market Structure Conference. This is the text of the speech as drafted, which may differ from the delivered version. -
2019 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2019. -
Regimes for EEA firms and investment funds that passported into the UK
EEA-based firms and investment funds can no longer passport into the UK. Find out about the regimes that help those firms operate or wind down their business. -
2013 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2013. -
Wholesale markets firm applicants
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.