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Showing 81 to 90 of 249 search results for opened under the Senior Managers Regime.
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Market Watch 66
In this Market Watch, we set out our expectations for firms on recording telephone conversations and electronic communications when alternative working arrangements are in place, including increased homeworking. -
Approved Persons help text: Connect
Read the FCA Connect help text for Approved Persons. -
Shaping the future in asset management
Keynote speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Asset Management Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
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. -
Senior Managers and Certification Regime Banking Stocktake Report
The findings of our review into the embedding of the Senior Managers and Certification Regime (SM&CR) in the banking sector. The SM&CR was introduced for deposit-taking firms and dual-regulated investment firms (the banking sector) in March 2016. -
Consumer Duty – information for firms
To help firms implement the Duty, we explain more on the areas of the Duty that we have been receiving firm queries on which are relevant for the wider market. -
Cryptoassets: AML / CTF regime - Registering with the FCA
You must register with us if you want to provide cryptoasset services that come within the scope of money laundering regulations. Find out if this applies to you and how to register. -
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. -
Information on FCA's recent investigation into NatWest - December 2021
The FCA responds to questions regarding its investigation into NatWest for breaches of the Money Laundering Regulations 2007. -
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).