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Showing 92 to 101 of 679 search results for senior managers regime.

  1. FCA introduces new rules on whistleblowing

    Press Releases Published: 06/10/2015 Last modified: 19/04/2016
    The Accountability Regime in relevant authorised persons. The Senior Managers Regime focuses on individuals who hold key roles and responsibilities in relevant firms. ... Individuals subject to either the Senior Managers Regime or the Certification
  2. 2020 Disclosure Log

    Last modified: 15/04/2021
    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 2020. 
  3. Approved Persons Regime

    Tasks for regulated firms Published: 12/05/2015 Last modified: 01/09/2021
    Firms need at least one FCA approved person to be registered for the appropriate controlled functions. Learn how to pass the FCA's 'fit and proper' test required by all approved persons.
  4. 2017 Disclosure Log

    Last modified: 07/08/2020
    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 2017. 
  5. Wealth managers

    Wealth managers Last modified: 23/09/2021
    Wealth managers
  6. Investment Managers

    Investment managers Last modified: 23/09/2021
    Investment managers need to be authorised and utilise the available support to best help consumers. Find useful links, publications and expectations for investment management firms.
  7. 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. 
  8. Event costs

    Last modified: 14/07/2020
    Overall approximate costs for public events that we organise and publicise, from April 2013 onwards.
  9. 2021 Disclosure Log

    Last modified: 17/05/2021
    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 2021.
  10. Operational Resilience

    Tasks for regulated firms Published: 17/05/2017 Last modified: 15/10/2021
    We set out the requirements of our policy and how to report an operational disruption.