Search results
Showing 211 to 220 of 527 search results for Senior Managers Regime applications.
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Depositaries
How to apply to act as a depositary of an authorised or unauthorised Alternative Investment Fund. -
Whistleblowing in practice: Case studies
Are you thinking about blowing the whistle on wrongdoing? Find out how whistleblowing can help the FCA to act and how the FCA protects other firms. -
2013 Disclosure Log
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 2013. -
Culture and governance
Read about the FCA's work on culture and governance, including details of how to get involved. -
SM&CR: Form K user guide for Enhanced firms [pdf]
Form K is the conversion notification form. It enables firms to tell us which approved individuals they wish to convert from the Approved Persons Regime (APR) to corresponding Senior Management Functions (SMFs) under the Senior Managers & -
Apply to become a debt firm
Find out how to apply to the FCA for authorisation if you’re a debt advice, debt collection or debt purchaser firm, or if you conduct debt administration. -
Apply to be a registered AIFM
Learn how to apply to us to be a small registered Alternative Investment Fund Manager (AIFM), including SEF and RVECA managers. -
UK AIFM forms
We list the forms UK AIFMs need in order to vary permissions, submit applications, notifications and make other changes. -
Senior management functions
Learn about senior management functions (SMFs) and how we assess them. -
Extending the Senior Managers and Certification Regime: Cost-Benefit Analysis [pdf]