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Showing 281 to 290 of 527 search results for Senior Managers Regime applications.
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Reporting obligation
Under UK European Markets Infrastructure Regulation (UK EMIR) requirements, all counterparties must report any derivative contract concluded, modified or terminated. Find out more about submitting your firm's obligations. -
2013 fines
Fines published during the calendar year ending December 2013. -
Best of British Conference
Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the Best of British Conference hosted by JP Morgan, London. This is the text of the speech as drafted, which may differ -
Policy development update
The policy development update provides some information on our recent and upcoming publications but should not be regarded as comprehensive. -
The FCA’s role in preparing for Brexit
Further to the announcement from the Treasury on its approach to amending financial services legislation under the European Union (Withdrawal) Act, this statement provides stakeholders with an update on how we are preparing for the UK leaving the -
Open enforcement investigations information - October 2020
FCA provides information on the number of open enforcement investigations. -
Apply to become a home finance provider
Find out how to apply to the FCA for authorisation if you’re a non-bank lender, lifetime mortgage provider or third-party mortgage administrator. -
Application to perform a controlled or senior management function: Connect
Application to perform a controlled or senior management function -
Approved Persons Regime (APR) and coronavirus: our expectations
We set out our expectations to help benchmark administrators and firms using Appointed Representative (AR) arrangements apply the Approved Persons Regime (APR) during coronavirus (Covid-19). -
Statement on MiFID II inducements and research
FCA welcomes the US Securities and Exchange Commission’s extension of no-action relief relating to MiFID II inducements and research provisions