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Showing 71 to 80 of 816 search results for senior managers regime.
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Data on enforcement investigations, including into senior managers - June 2022
The FCA answers mutiple questions regarding enforcement investigations, including into Senior Managers. -
Appointing intermediaries if you’re a funeral plan provider
Find out how to appoint intermediaries to distribute and sell your plans. -
Information on enforcement investigations into Senior Managers - May 2022
The FCA responds to multiple questions on enforcement investigations into Senior Managers. -
PS16/3: Strengthening accountability in banking: Feedback on CP15/22 and CP15/31; rules on extending the certification regime to wholesale market activities and interim rules on referencing [pdf]
In this policy statement we set out final rules for the new accountability framework for individuals working in banks, building societies and credit unions who perform certain wholesale market activities. -
CP 19/31: Extending the Senior Managers Regime to Benchmark Administrators [pdf]
This consultation sets out our proposals for applying the SMR to benchmark administrators that do not carry out any other regulated activities. -
PS16/22: Strengthening accountability in banking and insurance: regulatory references final rules [pdf]
We are publishing our final rules on regulatory references. -
Promoting competitiveness is a juggling act
Speech by Sarah Pritchard, Executive Director, Markets and Executive Director, International at TheCityUK International Conference 2024. -
Rules that apply to firms in SRO and fund operators in the TMPR
We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR). -
2018 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 2018. -
The number of enforcement cases against Senior Managers under SMCR - April 2020
The FCA provides information on the number of enforcement cases against Senior Managers.