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Showing 361 to 370 of 527 search results for Senior Managers Regime applications.

  1. Accomplishments of the last 5 years

    Speeches Published: 14/03/2018 Last modified: 14/03/2018
    Speech by John Griffith-Jones, Chairman, FCA, delivered at an event hosted by TheCityUK at Linklaters LLP, London.

  2. FCA launches enhanced Financial Services Register to protect consumers

    Press Releases Published: 27/07/2020 Last modified: 27/07/2020
    The FCA has today launched its updated Financial Services (FS) Register – including a simpler design and clearer language.

  3. Sustainability disclosure and labelling regime

    Tasks for firms Firms Published: 02/02/2024 Last modified: 01/07/2024
    Information for firms and trade associations on sustainability disclosure requirements and the anti-greenwashing rule.

  4. Learning the lessons of the past as an industry

    Speeches Published: 02/12/2014 Last modified: 04/02/2015
    That is not a challenge that will disappear, even taking into account the criminal sanction for recklessness in the Banking Reform Act and the presumption of responsibility for senior managers that ... Importantly, the new senior managers regime for

  5. The number of enforcement cases against Senior Managers under SMCR - April 2020

    FOI Release Date of Release: 06/04/2020
    The FCA provides information on the number of enforcement cases against Senior Managers.

  6. Highlights of the FCA’s approach in 2022

    Press Releases Published: 21/12/2022 Last modified: 30/01/2023
    The FCA set out a new three-year strategy in April designed to improve outcomes for consumers and markets.

  7. Conduct risk during LIBOR transition

    Firms Focus areas Markets Markets policy Published: 19/11/2019 Last modified: 09/01/2023
    Questions and answers for firms on conduct risk during LIBOR transition.

  8. FCA launches the Asset Management Authorisation Hub

    Press Releases Published: 16/10/2017 Last modified: 05/04/2023
    The FCA has launched its new asset management authorisation hub.

  9. Primary Market Bulletin Issue No. 30

    Newsletters Published: 19/08/2020 Last modified: 21/08/2020
    In this special edition, we publish general news and information, including changes to our Knowledge Base.

  10. Required permissions for asset management firms

    Published: 30/10/2018 Last modified: 05/07/2023
    If you're applying to be authorised as a manager of investments, AIFs or UK UCITS, or to distribute funds, find out which permissions to apply for.
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