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Showing 41 to 50 of 612 search results for under the Senior Managers Regime.

41. Fair and effective markets review

    Speeches Published: 14/07/2015 Last modified: 23/10/2015
    The recommendations seek to embed accountability with front-line staff for their actions and to make senior managers properly responsible for their role in controlling their businesses and managing their staff. ... First, the Senior Managers and

42. What can the consumer credit sector expect from the FCA?

    Speeches Published: 21/03/2019 Last modified: 21/03/2019
    Speech by Jonathan Davidson, Executive Director of Supervision – Retail and Authorisations, at the Credit Summit, London.

43. Examining the future of anti-money laundering regulations

    Speeches Published: 08/12/2015 Last modified: 16/08/2021
    Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015

44. SM&CR categorisation for solo-regulated firms

    Tasks for regulated firms Published: 31/07/2019 Last modified: 06/02/2023
    Under SM&CR, solo-regulated firms are categorised as limited scope, core or enhanced. Find out which category your firm is in and how you can review this.

45. Wholesale markets firm applicants

    Firm authorisation Published: 04/07/2023 Last modified: 24/04/2024
    If you're a wholesale investment firm, you have to be authorised by us. Learn how to prepare your application and what you need to read first.

46. Promoting competitiveness is a juggling act

    Speeches Published: 18/04/2024 Last modified: 18/04/2024
    Speech by Sarah Pritchard, Executive Director, Markets and Executive Director, International at TheCityUK International Conference 2024.

47. Joint FCA and PRA statement on SM&CR and coronavirus: our expectations of dual-regulated firms - December 2020 update

    Published: 18/12/2020 Last modified: 18/01/2021
    In April 2020, we set out our expectations to help dual-regulated firms apply the SM&CR following the exceptional circumstances that arose from the coronavirus pandemic (Covid-19). We offered some additional flexibility in the application of the

48. 2018 Disclosure Log

    Last modified: 14/09/2020
    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 2018. 

49. Chief Executive speaks at APM about recent work and future challenges

    Speeches Published: 20/07/2016 Last modified: 20/07/2016
    Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting.

50. Climate change and sustainable finance

    Published: 19/04/2021 Last modified: 23/04/2024
    The FCA's work on climate change and other environmental, social and governance (ESG) issues.