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Showing 11 to 20 of 249 search results for opened under the Senior Managers Regime.
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Information on nonfinancial misconduct and SMCR investigations - June 2022
The FCA provides data on nonfinancial misconduct and SMCR investigations. -
Information on enforcement investigations under SMR - June 2022
The FCA answers multiple questions on enforcement investigations under the Senior Managers and Certification Regime. -
2016 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 2016. -
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 -
Information on open FCA enforcement investigations - December 2020
The FCA provides a breakdown by category of all open FCA investigations as at the 23 November 2020. -
Operational Resilience
We set out the requirements of our policy and how to report an operational disruption. -
Our investigations – the evolving approach
Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum. -
2017 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 2017. -
Coronavirus: Information for small businesses that are customers of financial services firms
Information on the Government support available during the coronavirus (Covid-19) pandemic and as businesses look to recover and grow. -
2014 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 2014.