Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 251 to 260 of 527 search results for Senior Managers Regime applications.

  1. FCA proposes new measures to maintain firms’ focus on culture

    Press Releases Published: 28/09/2016 Last modified: 28/09/2016
    The Financial Conduct Authority (FCA) will mark six months since the implementation of the Senior Managers’ and Certification Regime by providing feedback on implementation so far and proposing measures to further strengthen the regime. The

  2. Apply to be an authorised AIFM

    Markets Published: 05/06/2016 Last modified: 05/07/2023
    Learn how to apply to us to become a full-scope AIFM or a small authorised AIFM, including what permissions you'll need and how much you'll need to pay.

  3. Restrictions placed on Mrs Lisa Campbell

    News stories Published: 04/04/2023 Last modified: 31/08/2023
    On 3 April 2023, we imposed a number of conditions on the approval of Mrs Lisa Campbell as a senior manager of Campbell & Associates Independent Financial Advice Limited.

  4. FCA statement on proposals to introduce a public register

    Statements Published: 26/02/2018 Last modified: 26/02/2018
    Later this year, the Financial Conduct Authority (FCA) will consult on proposals to make information available on a wider range of individuals at authorised firms.

  5. Defined benefit pension transfers

    Tasks for firms Published: 16/06/2019 Last modified: 19/06/2023
    Read about the FCA's work in defined benefit (DB) transfers to date and the continued supervision in this area.

  6. Dear CEO letter: Authorised push payment (APP) fraud [pdf]

    Correspondence Published: 31/01/2018
    We have published a Dear CEO letter about authorised push payment (APP) fraud and the APP Best Practice Standards developed by UK Finance, asking firms to consider how they are tackling APP fraud within the context of the Senior Managers &

  7. MIFIDPRU Remuneration Code (SYSC 19G)

    Tasks for firms Published: 13/01/2022 Last modified: 09/01/2024
    The FCA provides information on how MIFIDPRU Remuneration Code (SYSC 19G) applies to MIFIDPRU Investment firms.

  8. Transforming culture in financial services

    Speeches Published: 19/03/2018 Last modified: 19/03/2018
    Speech by Andrew Bailey, Chief Executive of the FCA, at the Transforming culture in financial services conference.

  9. Information on enforcement investigations into senior managers - May 2022

    FOI Release Date of Release: 27/05/2022
    The FCA answers questions multiple questions on enforcement investigations into senior managers.

  10. Training and competence

    Tasks for regulated firms Published: 12/05/2015 Last modified: 10/02/2023
    Our training and competence regime makes sure the financial services workforce is appropriately qualified and well regulated.
Related topics