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Showing 91 to 100 of 613 search results for under the Senior Managers Regime.

  1. Approved Persons help text: Connect

    Published: 12/05/2016 Last modified: 04/10/2023
    Read the FCA Connect help text for Approved Persons.

  2. Looking ahead to 2014

    Speeches Published: 09/12/2013 Last modified: 09/12/2013
    Speech by Martin Wheatley, Chief Executive of the FCA, at the ICI Global Trading and Market Structure Conference. This is the text of the speech as drafted, which may differ from the delivered version.

  3. Cryptoassets: AML / CTF regime - Registering with the FCA

    Published: 22/03/2023 Last modified: 31/01/2024
    You must register with us if you want to provide cryptoasset services that come within the scope of money laundering regulations. Find out if this applies to you and how to register.

  4. 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.

  5. The FCA’s role in preparing for Brexit

    Statements Published: 27/06/2018 Last modified: 31/01/2020
    Further to the announcement from the Treasury on its approach to amending financial services legislation under the European Union (Withdrawal) Act, this statement provides stakeholders with an update on how we are preparing for the UK leaving the

  6. FCA confirms accountability rules for wholesale traders and interim rules on regulatory references

    Press Releases Published: 04/02/2016 Last modified: 19/04/2016
    This wide package of accountability reforms also includes proposals for regulatory references for candidates applying for senior manager and significant harm functions under the certification regime in banks, building societies, credit ... the Senior

  7. Information on FCA's recent investigation into NatWest - December 2021

    FOI Release Date of Release: 24/12/2021
    The FCA responds to questions regarding its investigation into NatWest for breaches of the Money Laundering Regulations 2007.

  8. Information on financial services partnerships - November 2022

    FOI Release Date of Release: 15/11/2022
    FCA provides information on financial services partnerships.

  9. About our data

    Last modified: 14/03/2024
    The FCA publishes a wide range of data. Find out about the types of data available and how often it is published.

  10. CP15/9: Strengthening accountability in banking: a new regulatory framework for individuals

    Consultation papers Published: 16/03/2015 Last modified: 14/09/2015
    We are also consulting on guidance on the presumption of responsibility that applies to senior managers under the Financial Services (Banking Reform) Act 2013. ... To give firms as much time as possible to prepare for the changes, this paper provides a
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