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Showing 221 to 230 of 527 search results for Senior Managers Regime applications.
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Directory of certified and assessed persons
Find out how you can prepare and amend your certified and assessed person submission, and why it's important to confirm your details. -
Guidance on the duty of responsibility: PS17/9
In this Policy Statement, we set out guidance in the Decision Procedure and Penalties Manual (DEPP) on how we will enforce the ‘duty of responsibility’. -
PS18/16: The Duty of Responsibility for insurers and FCA solo-regulated firms
Firms should read the Policy Statement alongside the rules for how we will extend the Senior Managers and Certification Regime. ... We have also published Guides to the Senior Managers and Certification Regime for firms. -
Diversity, Equity and Inclusion (DEI) Innovation Spotlight
Find out about our Innovation hub's Diversity, Equity and Inclusion spotlight encouraging FinTech innovation in the DEI space -
SM&CR: Form K user guide for Core Firms with a CF2 who require a non-executive chair (SMF9) [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 & -
How we are making form filling easier for applicants
The FCA is making improvements to the application process for authorisation and the first form we're looking at is Form A. -
FCA statement on the publication of the FX Global Code
The FCA welcomes today’s publication of the FX Global Code. As we set out in our Mission, standards can be a useful way for the industry to police itself in support of our regulatory work and can help firms to communicate expectations of -
2015 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 2015. -
Our gender and ethnicity pay gaps 2019
We report on our gender and ethnicity pay gaps. -
Culture and conduct - extending the accountability regime
Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at City and Financial Summit, London.