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Showing 121 to 130 of 706 search results for new Senior Managers Regime.

  1. The Importance of Diversity

    Speeches Published: 05/02/2019 Last modified: 08/02/2019
    Speech by Andrew Bailey, Chief Executive of the FCA, at the PIMFA Wealth of Diversity Conference 2019.

  2. FCA publishes 2016/17 Business Plan

    Press Releases Published: 05/04/2016 Last modified: 05/04/2016
    extend the Senior Managers and Certification Regime to all FSMA firms, supervising the major UK FICC benchmarks and launching the 'Regulatory Sandbox' to give firms a safe space to test innovative

  3. Regulatory Sandbox

    Firms Published: 27/03/2022 Last modified: 09/05/2024
    The Regulatory Sandbox is for firms wanting to test new products live in the market with real consumers. Find out more about it and how to apply.

  4. 2014 Disclosure Log

    Last modified: 30/01/2020
    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 2014. 

  5. Authorisation and registration application fees

    Firm authorisation Published: 07/08/2017 Last modified: 21/11/2023
    Find out how much your firm’s application fee will be to become authorised by us, or registered with us.

  6. Leading the Way on Regulation

    Speeches Published: 16/05/2019 Last modified: 17/05/2019
    Speech delivered by Karina McTeague, Director of General Insurance and Conduct Specialists Supervision, at the British Insurance Brokers' Association (BIBA) Conference 2019.  

  7. Our approach to supervision

    Corporate documents Published: 19/03/2024 Last modified: 19/03/2024
    Our approach to supervision sets out how we carry out our regulatory oversight. It is designed to help firms, consumers and markets understand how we work, and fulfil our accountability to Parliament and to the public.

  8. Wholesale Conduct Risk

    Speeches Published: 24/07/2015 Last modified: 24/07/2015
    The Senior Managers Regime, final rules for which were published last week, should reintroduce and reinforce professional accountability to the industry. ... One thing that the introduction of the Senior Managers Regime will do is hard-wire

  9. Applying conduct rules to all non-executive directors in the banking and insurance sectors: PS17/8

    Policy statements Published: 28/09/2016 Last modified: 03/05/2017
    This Policy Statement (PS) introduces final rules to extend our Code of Conduct sourcebook (COCON) to standard non-executive directors (NEDs) in banks, building societies, credit unions and dual-regulated investment firms (‘banks’) and insurance

  10. Money laundering and terrorist financing

    Focus areas Published: 02/08/2015 Last modified: 21/02/2023
    Find out more about the regulations and risk-based approach to anti-money laundering.