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Showing 291 to 300 of 527 search results for Senior Managers Regime applications.

291. Modification by consent: CASS 1A.1.1R(3)

     Tasks for regulated firms Published: 08/05/2015 Last modified: 08/12/2022
     Find out how this modification works for CASS medium and CASS large firms, and how to take advantage of it.

292. Sustainability

     Speeches Published: 22/07/2014 Last modified: 05/08/2014
     the Senior Managers and Certified Persons Regimes. ... The new regime will increase accountability of individuals in positions of responsibility and raise standards of governance.

293. Information on enforcement investigations under SMR - June 2022

     FOI Release Date of Release: 06/06/2022
     The FCA answers multiple questions on enforcement investigations under the Senior Managers and Certification Regime.

294. FCA statement on share trading obligations

     Statements Published: 19/03/2019 Last modified: 19/03/2019
     The FCA's response to ESMA’s statement on share trading obligations under MiFID II.

295. Principals and appointed representatives

     Tasks for firms Firms Published: 09/05/2015 Last modified: 24/04/2024
     If you’re a principal firm for an appointed representative (AR), find out what your responsibilities are and when to notify the FCA.

296. Onshoring updates to our Handbook and Technical Standards

     Last modified: 26/05/2022
     We explain how we’ve prepared our Handbook and Technical Standards for the end of the transition period.

297. The Importance of Diversity

     Speeches Published: 05/02/2019 Last modified: 08/02/2019
     Speech by Andrew Bailey, Chief Executive of the FCA, at the PIMFA Wealth of Diversity Conference 2019.

298. Market Abuse Regulation

     Markets Market abuse Published: 03/05/2016 Last modified: 22/05/2023
     The Market Abuse Regulation (MAR) aims to increase market integrity and investor protection. Find out more about the application and structure of the MAR, market abuse offences and exemptions.

299. Amend a recognised fund

     Tasks for firms Published: 10/05/2015 Last modified: 27/11/2023
     To amend a recognised fund you must send us a notification for approval of the proposed change.

300. Leading the Way on Regulation

     Speeches Published: 16/05/2019 Last modified: 17/05/2019
     Speech delivered by Karina McTeague, Director of General Insurance and Conduct Specialists Supervision, at the British Insurance Brokers' Association (BIBA) Conference 2019.