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Showing 1 to 10 of 759 search results for senior managers register.

1. Financial Services Register

   Registers and systems Published: 28/04/2016 Last modified: 04/11/2022
   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.

2. Using the Financial Services Register

   Consumers Your rights Published: 20/03/2023 Last modified: 14/12/2023
   Find out how to check if a firm is authorised, what it means if you’re using an Appointed Representative, and what to do if a firm is unauthorised.

3. Directory of certified and assessed persons

   Tasks for regulated firms Published: 04/09/2019 Last modified: 10/02/2023
   Find out how you can prepare and amend your certified and assessed person submission, and why it's important to confirm your details.

4. Obtaining a data extract from the Financial Services Register

   Published: 14/05/2016 Last modified: 29/11/2023
   How you can order an extract of data from the Financial Services (FS) Register.

5. Credit unions

   Tasks for firms Published: 11/05/2015 Last modified: 03/05/2024
   Find out how to get authorised and about other requirements for credit unions.

6. Appointing intermediaries if you’re a funeral plan provider

   Firms Tasks for firms Published: 02/05/2021 Last modified: 01/11/2023
   Find out how to appoint intermediaries to distribute and sell your plans.

7. 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.

8. Tackling the hard questions

   Speeches Published: 28/04/2016 Last modified: 18/01/2017
   Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Thomson Reuters Annual Compliance & Risk Summit on 26 April 2016, in London. This is the text of the speech as drafted, which may differ from the

9. Benchmarks supervision

   Markets Published: 22/04/2016 Last modified: 14/12/2022
   Benchmark administrators and supervised contributors are overseen by the Benchmarks Supervision team. Learn more about notifications and providing information.

10. Information on Senior Managers Functions

    FOI Release Date of Release: 02/03/2021
    The FCA provides the location of each of the registered head office for each of the Senior Managers Functions.