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Showing 271 to 280 of 527 search results for Senior Managers Regime applications.

  1. Data on enforcement investigations, including into senior managers - June 2022

    FOI Release Date of Release: 06/06/2022
    The FCA answers mutiple questions regarding enforcement investigations, including into Senior Managers.

  2. Supervision of UK regulated covered bonds

    Published: 13/05/2016 Last modified: 23/06/2023
    Find out about our role supervising regulated covered bond programmes and regulated covered bonds, key features of the regime and stress testing.

  3. Compliance, Culture and Evolving Regulatory Expectations

    Speeches Published: 26/04/2021 Last modified: 26/04/2021
    Speech by Mark Steward, Executive Director of Enforcement and Market Oversight.

  4. NPPR supervisory co-operation arrangements (MoUs)

    Published: 27/05/2016 Last modified: 25/09/2023
    The FCA provides information on Memorandums of Understanding (MoUs) and it is a pre-condition under the Alternative Investment Fund Managers Directive (AIFMD)

  5. About our data

    Last modified: 14/03/2024
    The FCA publishes a wide range of data. Find out about the types of data available and how often it is published.

  6. Brexit: the FCA confirms final rules for firms

    Press Releases Published: 29/03/2019 Last modified: 29/03/2019
    The Financial Conduct Authority (FCA) has today published its final instruments and guidance that will apply in the event the UK leaves the EU without a deal or an implementation period.

  7. Rolling regulation forwards

    Speeches Published: 16/11/2022 Last modified: 16/11/2022
    Speech by Nikhil Rathi, FCA Chief Executive delivered at the UK Finance annual dinner.

  8. Brexit and beyond

    Speeches Published: 21/03/2019 Last modified: 21/03/2019
    Speech delivered by Nausicaa Delfas, Executive Director of International at the FCA, at City and Financial, 4th UK Financial Services Brexit Summit.

  9. Becoming an appointed representative if you’re a funeral plan intermediary

    Firms Tasks for firms Published: 03/05/2021 Last modified: 01/11/2023
    Find out how to become an appointed representative (AR) that sells and distributes funeral plans on behalf of a principal firm.

  10. Impact Assessment: Extending SM&CR to solo-regulated firms [pdf]

    Impact assessments Published: 16/01/2020
    This impact assessment Extending the Senior Managers & Certification Regime to solo-regulated firms relates to CP17/25, CP17/40, PS18/14 and PS19/20
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