Search results
Showing 261 to 270 of 527 search results for Senior Managers Regime applications.
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About the FCA
The FCA regulates the conduct of nearly 45,000 businesses in the UK to ensure that financial markets work well. Find out more about our role. -
Information on investigations into breaches of COCON - May 2022
The FCA provides data on how many investigations into breaches of COCON it has opened since the inception of the Conduct Rules under SMCR. -
Apply to approve an individual or firm
Find out what you need to know before submitting your application. -
The Senior Managers and Certification Regime: Guide for FCA solo-regulated firms [pdf]
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Shaping the future in asset management
Keynote speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Asset Management Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Apply to become a general insurance intermediary
Learn how to apply to the FCA for authorisation if you're a general insurance intermediary, Lloyds and London Market Intermediary or a price comparison website. -
Overall responsibility and the legal function: DP16/4
In September 2016, we launched Discussion Paper DP16/4 to clarify how and why the legal function is currently captured under the Senior Managers and Certification Regime (SM&CR) and to consider whether it should continue to be part of the regime. -
FCA proposes new Directory of financial services workers
The Financial Conduct Authority (FCA) has today proposed a new Directory to help consumers and firms check the status and history of individuals working in financial services. -
2014 fines
This table contains information about fines published during the calendar year ended December 2014. The total amount of fines is £1,471,431,800. -
Fund tokenisation
We are working with industry to explore potential uses of fund tokensiation which could make collective investment schemes more efficient, transparent, and accessible to a wider range of consumers.