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Showing 1 to 10 of 250 search results for opened under the Senior Managers Regime.

  1. Information on investigations opened under the Senior Managers' Regime - June 2022

    FOI Release Date of Release: 22/06/2022
    The FCA provides information on investigations opened under the Senior Managers' Regime.

  2. Information on number of enforcement investigations opened against individuals under the Senior Managers & Certification Regime - November 2020

    FOI Release Date of Release: 18/11/2020
    FCA provides information on number of enforcement investigations opened against individuals under the Senior Managers & Certification Regime.

  3. Information on enforcement investigations opened against individuals (SMR) - May 2022

    FOI Release Date of Release: 11/05/2022
    The FCA provides data on enforcement investigations opened against individuals (SMR).

  4. Enforcement investigations and the Senior Managers Regime information - October 2020

    FOI Release Date of Release: 05/10/2020
    FCA provides information on Enforcement investigations and the Senior Managers Regime.

  5. Senior Managers and Certification Regime

    Tasks for regulated firms Published: 06/07/2015 Last modified: 06/02/2023
    The Senior Managers and Certification Regime (SM&CR) changed how people working in financial services are regulated. See how it applies to your firm.

  6. Information on investigations into breaches of COCON - May 2022

    FOI Release Date of Release: 27/05/2022
    The FCA provides data on how many investigations into breaches of COCON it has opened since the inception of the Conduct Rules under SMCR.

  7. Information on enforcement investigations into Senior Managers - May 2022

    FOI Release Date of Release: 26/05/2022
    The FCA responds to multiple questions on enforcement investigations into Senior Managers.

  8. 2018 Disclosure Log

    Last modified: 14/09/2020
    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 2018. 

  9. 2019 Disclosure Log

    Last modified: 20/03/2024
    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. 

  10. Data on enforcement investigations, including into senior managers - June 2022

    FOI Release Date of Release: 06/06/2022
    The FCA answers mutiple questions regarding enforcement investigations, including into Senior Managers.