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Showing 71 to 80 of 612 search results for under the Senior Managers Regime.

71. Information on enforcement investigations under SMR - June 2022

    FOI Release Date of Release: 06/06/2022
    The FCA answers multiple questions on enforcement investigations under the Senior Managers and Certification Regime.

72. FCA proposes new measures to maintain firms’ focus on culture

    Press Releases Published: 28/09/2016 Last modified: 28/09/2016
    The Financial Conduct Authority (FCA) will mark six months since the implementation of the Senior Managers’ and Certification Regime by providing feedback on implementation so far and proposing measures to further strengthen the regime. The

73. FCA statement on proposals to introduce a public register

    Statements Published: 26/02/2018 Last modified: 26/02/2018
    Later this year, the Financial Conduct Authority (FCA) will consult on proposals to make information available on a wider range of individuals at authorised firms.

74. 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.

75. Information on enforcement investigations into Senior Managers - May 2022

    FOI Release Date of Release: 26/05/2022
    The FCA responds to multiple questions on enforcement investigations into Senior Managers.

76. Open enforcement investigations information - October 2020

    FOI Release Date of Release: 12/10/2020
    FCA provides information on the number of open enforcement investigations.

77. Culture and conduct - extending the accountability regime

    Speeches Published: 20/09/2017 Last modified: 20/09/2017
    Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at City and Financial Summit, London.

78. Operational Resilience

    Tasks for firms Published: 17/05/2017 Last modified: 04/03/2024
    We set out the requirements of our policy and how to report an operational disruption.

79. Compliance, Culture and Evolving Regulatory Expectations

    Speeches Published: 26/04/2021 Last modified: 26/04/2021
    Speech by Mark Steward, Executive Director of Enforcement and Market Oversight.

80. Regulating the funeral plans sector

    Firms Published: 05/02/2021 Last modified: 04/12/2023
    The FCA regulates pre-paid funeral plans, which means any funeral plan provider or intermediary must be authorised. Find out what this means for your firm.