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Showing 231 to 240 of 527 search results for Senior Managers Regime applications.

  1. Apply to become a consumer investments firm

    Firm authorisation Published: 09/11/2023 Last modified: 19/12/2023
    Find out how to apply to the FCA for authorisation if you're a consumer investments firm, such as a financial adviser or investment platform.

  2. Information on senior manager appointments - August 2022

    FOI Release Date of Release: 09/08/2022
    The FCA provides information information on senior manager appointments.

  3. Statement: Strengthening Accountability in Banking

    Statements Published: 03/03/2015 Last modified: 08/09/2016
    new Senior Managers and Certification Regime (SM&CR) will be 7 March 2016 and that transitional documentation will need to be submitted to the regulators by 8 February 2016. ... the accountability of bank senior management and to raise standards of

  4. Strengthening Accountability in Banking: Senior Managers & Certification Regime slides [pdf]

    Documents Published: 06/10/2015 Last modified: 03/08/2016
    These slides provide additional information for firms on the regime. They summarise existing information and do not represent formal FCA Guidance.

  5. Direction: no s.272 applications [pdf]

    Handbook Published: 31/12/2020
    Direction stating that fund managers should not submit an application for the full recognition of a fund in the UK’s temporary marketing permission regime under FSMA s.272 until told by the FCA to do so.

  6. Knowledge Base

    Markets Primary markets Published: 02/05/2016 Last modified: 29/04/2024
    The Knowledge Base is our source of technical guidance on our Listing Rules, Prospectus Regulation Rules and Disclosure and Transparency Rules.

  7. 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.

  8. Experienced professionals

    Join us Published: 28/09/2016 Last modified: 05/03/2024
    Find out what we look for in candidates, learn about the wide range of benefits available to our employees and access resources to support your application.

  9. Apply to become a mortgage broker

    Firm authorisation Published: 15/11/2023 Last modified: 15/11/2023
    Find out what permissions you'll need to apply to the FCA for authorisation, and what the FCA expects to see in your application.

  10. Heads of compliance and MLROs

    Firms Published: 28/01/2022 Last modified: 08/12/2022
    Make sure you understand our expectations if your firm is applying to us to approve individuals to these positions.
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