Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 51 to 60 of 1000 search results for senior management regime.

  1. REP008: Conduct Rules reporting for solo-regulated firms

    Tasks for regulated firms Published: 13/08/2020 Last modified: 09/02/2023
    Under the Senior Managers and Certification Regime (SM&CR), solo-regulated firms need to tell us whether disciplinary action has been taken against individuals, who aren't Senior Managers, for Conduct Rules breaches.

  2. Nothing to fear from high standards

    Speeches Published: 16/03/2015 Last modified: 03/11/2016
    Speech by Martin Wheatley, Chief Executive of the FCA, delivered at Bloomberg. This is the text of the speech as drafted, which may differ from the delivered version.

  3. Investor protection in the UK: New tools, new challenges

    Speeches Published: 19/09/2014 Last modified: 19/09/2014
    Speech by Maggie Craig, Acting Head of Savings and Investments, at the FCA MiFID II Conference 2014. This is the text of the speech as drafted, which may differ from the delivered version.

  4. 2016 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 2016. 

  5. Clarifying our supervisory intentions: overall responsibility for the legal function under the Senior Managers Regime

    Statements Published: 27/01/2016 Last modified: 26/05/2016
    It has come to our attention that there is uncertainty as to whether an individual in charge of a firm’s legal function requires approval under our Senior Managers regime. This statement:describes our plans to consult on this area; and makes clear

  6. Information on the number of individuals who currently come under the Senior Managers Regime - May 2020

    FOI Release Date of Release: 22/05/2020
    FCA provides information on the number of individuals who currently come under the Senior Managers Regime.

  7. Loan-based crowdfunding platforms: summary of our rules

    New firm authorisation Published: 11/05/2015 Last modified: 13/08/2021
    The following rules may be relevant for firms operating in the loan-based crowdfunding (including peer-to-peer and peer-to-business) market when considering their investment activities.

  8. 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.

  9. Dealing commission

    Speeches Published: 10/07/2014 Last modified: 10/07/2014
    Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA conference on dealing commission in London. This is the text of the speech as drafted, which may differ from the delivered version.

  10. CP17/40: Individual accountability: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime

    Consultation papers Published: 13/12/2017 Last modified: 22/02/2018
    CP17/40: Individual accountability: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime. ... For the majority of firms, we are planning to automatically convert Approved Persons Regime (APR) approvals to Senior