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Showing 241 to 250 of 527 search results for Senior Managers Regime applications.

241. FG19/2: Summary feedback for guidance [pdf]

     Finalised guidance Published: 07/03/2019
     This document provides a summary of the feedback we received, and our response, to consultation GC18/4 on the Senior Managers and Certification Regime: Proposed guidance on Statements of Responsibilities and Responsibilities Maps for FCA firms.

242. Debating trust and confidence in banking

     Speeches Published: 28/05/2015 Last modified: 28/05/2015
     Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the ResPublica Vocational Banking event in London. This is the text of the speech as drafted, which may differ from the delivered version.

243. Our innovation services

     Firms Published: 27/03/2022 Last modified: 01/08/2023
     The FCA promotes innovation by offering a range of market facing tools and services for innovative firms. Find out more about the support on offer.

244. Dealing commission

     Speeches Published: 10/07/2014 Last modified: 10/07/2014
     Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA conference on dealing commission in London. This is the text of the speech as drafted, which may differ from the delivered version.

245. Investment managers

     Firm authorisation Published: 05/07/2023 Last modified: 19/12/2023
     Find out what permissions you'll need to apply to the FCA for authorisation, how much you'll need to pay and what the FCA expects to see in your application.

246. UK AIFM marketing and passporting

     Firms Published: 08/06/2016 Last modified: 08/02/2023
     Find out about UK AIFMs marketing and passporting.

247. Authorised and recognised funds

     Tasks for firms Published: 09/05/2015 Last modified: 17/07/2024
     Investment funds that are structured as collective investment schemes (CIS) must be authorised or recognised by us to be promoted to retail investors in the UK.

248. Clearing obligation

     Markets Markets policy Published: 24/05/2016 Last modified: 24/06/2024
     Find out more about the clearing obligation under Article 4 of UK European Market Infrastructure Regulation and the updates to the clearing obligation regime under UK EMIR REFIT.

249. Apply for fund recognition

     Tasks for firms Published: 10/05/2015 Last modified: 14/05/2024
     Investment funds that are structured as collective investment schemes must be authorised or recognised by us to be promoted to retail investors in the UK.

250. Side pockets

     Consumers Your rights Published: 08/09/2022 Last modified: 20/03/2023
     Side pockets could affect anyone who invests in funds that are exposed to Russian assets. Find out more about how side pockets work and what investors can expect.