Search results
Showing 151 to 160 of 366 search results for function under the Senior Managers Regime.
-
Persons responsible for conduct of business changes
AIFMs must register at least 2 people that are effectively responsible for the conduct of the business in order to be authorised as an AIFM. What to do if you need to update these. -
Brexit: the FCA confirms final rules for firms
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. -
Open enforcement investigations information - October 2020
FCA provides information on the number of open enforcement investigations. -
The number of enforcement cases against Senior Managers under SMCR - April 2020
The FCA provides information on the number of enforcement cases against Senior Managers. -
The FCA consults on its approach ahead of the UK’s exit from the EU
The Financial Conduct Authority (FCA) today published two consultation papers, setting out its proposals in the event the UK leaves the European Union on 29 March 2019 without an implementation period. It also set out its approach to the -
Regulating the funeral plans sector
The FCA regulates pre-paid funeral plans, which means any funeral plan provider or intermediary must be authorised. Find out what this means for your firm. -
Information on first names within the Senior Managements Function - August 2021
The FCA provides information on the 50 most common forenames within the Senior Managements Function. -
Banking leaders share their insights on adopting the Senior Managers and Certification Regime
Watch senior leaders from four financial services firms talk about their experiences of adopting the Senior Managers and Certification Regime. -
Repeal and replacement of assimilated law
Documents on the repeal and replacement of provisions in the retained EU law. -
Transforming culture in financial services
Speech by Andrew Bailey, Chief Executive of the FCA, at the Transforming culture in financial services conference.