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Showing 131 to 140 of 178 search results for currently come under the Senior Managers Regime.

  1. Wholesale market policy – a year in review

    Speeches Published: 11/12/2015 Last modified: 11/12/2015
    Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at the ICI Global Trading and Market Structure Conference in London on 8 December 2015. This is the text of the speech as drafted, which may differ from the

  2. An update on our approach to authorisation and our Brexit preparations

    Speeches Published: 30/10/2018 Last modified: 30/10/2018
    Speech by Sarah Rapson, Director, Authorisations at the Association of Professional Compliance Consultants (APCC) Autumn Conference.

  3. PS16/3: Strengthening accountability in banking: Feedback on CP15/22 and CP15/31; final rules on extending the certification regime to wholesale market activities and interim rules on referencing

    Policy statements Published: 04/02/2016 Last modified: 26/05/2016
    As well as ensuring that, in future, senior managers can be held accountable for any misconduct that falls within their area of responsibility, our regime aims to hold individuals working at ... If your firm is affected by the Senior Managers and

  4. Cryptoasset registration: information for applicants

    Published: 26/10/2023 Last modified: 07/02/2024
    The FCA's requirements and expectations of cryptoasset businesses for AML/CTF regime registration.

  5. Financial conduct regulation in a restless world

    Speeches Published: 08/05/2019 Last modified: 08/05/2019
    Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Deloitte conduct risk roadshow.

  6. Enhancing the UK’s capital markets – The FCA’s role and priorities

    Speeches Published: 08/02/2022 Last modified: 08/02/2022
    Speech by Sarah Pritchard, Executive Director, Markets, to City & Financial Global’s The Future of UK Financial Regulation Summit.

  7. Improving the Appointed Representatives regime through greater use of data

    Data Published: 28/09/2023 Last modified: 03/10/2023
    This publication includes data from the FCA's 2021 and 2022 data requests sent to principal firms and authorisation information collected from firms. It also outlines how the FCA is improving the Appointed Representatives’ Regime (AR) regime and

  8. Cryptoasset firms marketing to UK consumers must get ready for financial promotions regime

    Statements Published: 06/02/2023 Last modified: 06/02/2023
    All cryptoasset firms marketing to UK consumers, including firms based overseas, will soon need to comply with the new UK financial promotions regime.

  9. A financial system to support the recovery

    Speeches Published: 16/06/2020 Last modified: 16/06/2020
    Speech by Charles Randell, Chair of the FCA, to a virtual roundtable of bank chairs hosted by UK Finance.

  10. Towards end of the transition period: getting ready for a new environment

    Speeches Published: 12/11/2020 Last modified: 12/11/2020
    Speech delivered by Nausicaa Delfas, Executive Director of International, at the UK’s Regulatory Regime for Financial Services Summit.