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Showing 112 to 121 of 677 search results for senior managers regime.

  1. Regulation round-up April 2018

    Newsletters Published: 19/04/2018 Last modified: 19/04/2018
    Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.
  2. Open-ended funds investing in less liquid assets

    Speeches Published: 19/03/2020 Last modified: 19/03/2020
    Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy, to Investment Association members.
  3. Recognised industry codes

    About us How we regulate Published: 20/07/2018 Last modified: 26/04/2021
    Read about our process for recognising industry codes of conduct, which we describe as 'FCA-recognised industry codes'.
  4. CP15/37: Consequential amendments to the Senior Insurance Managers Regime (SIMR) [pdf]

    Consultation papers Published: 11/11/2015 Last modified: 11/11/2015
  5. Our investigations – the evolving approach

    Speeches Published: 15/06/2017 Last modified: 15/06/2017
    Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum.
  6. Regulation round-up August 2017

    Newsletters Published: 17/08/2017 Last modified: 17/08/2017
    Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.
  7. Financial Services Register

    Registers and systems Published: 28/04/2016 Last modified: 01/04/2021
    The Financial Services Register is a public record of firms, individuals and other bodies that are PRA and/or FCA authorised. Search the register to find out if a firm is registered.
  8. Culture and governance

    Tasks for regulated firms Firms Published: 12/05/2015 Last modified: 03/08/2020
    Read about the FCA's work on culture and governance, including details of how to get involved.
  9. Directory of certified and assessed persons

    Tasks for regulated firms Published: 05/09/2019 Last modified: 12/07/2021
    Under the Senior Managers and Certification Regime (SM&CR), we will publish and maintain a directory of certified and assessed persons on the Financial Services Register, so consumers and professionals can check the details of key individuals
  10. CP17/26: Individual accountability - extending the Senior Managers and Certification Regime to insurers [pdf]

    Consultation papers Published: 26/07/2017
    We are consulting on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms.