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Showing 161 to 170 of 366 search results for function under the Senior Managers Regime.

  1. Senior Managers and Certification Regime Banking Stocktake Report

    Multi-firm reviews Published: 05/08/2019 Last modified: 05/08/2019
    The findings of our review into the embedding of the Senior Managers and Certification Regime (SM&CR) in the banking sector. The SM&CR was introduced for deposit-taking firms and dual-regulated investment firms (the banking sector) in March 2016.

  2. Supervision of UK regulated covered bonds

    Published: 13/05/2016 Last modified: 23/06/2023
    Find out about our role supervising regulated covered bond programmes and regulated covered bonds, key features of the regime and stress testing.

  3. Shaping the future in asset management

    Speeches Published: 30/10/2013 Last modified: 30/10/2013
    Keynote speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Asset Management Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  4. RCB key documents

    Published: 13/05/2016 Last modified: 27/03/2024
    Find our key documents and useful information if the regulated covered bonds regime applies to your firm.

  5. Market Watch 66

    Newsletters Published: 11/01/2021 Last modified: 22/01/2021
    In this Market Watch, we set out our expectations for firms on recording telephone conversations and electronic communications when alternative working arrangements are in place, including increased homeworking.

  6. Information on FCA's recent investigation into NatWest - December 2021

    FOI Release Date of Release: 24/12/2021
    The FCA responds to questions regarding its investigation into NatWest for breaches of the Money Laundering Regulations 2007.

  7. Looking ahead to 2014

    Speeches Published: 09/12/2013 Last modified: 09/12/2013
    Speech by Martin Wheatley, Chief Executive of the FCA, at the ICI Global Trading and Market Structure Conference. This is the text of the speech as drafted, which may differ from the delivered version.

  8. Cryptoassets: AML / CTF regime

    Tasks for firms Published: 21/10/2019 Last modified: 15/01/2024
    We are the anti-money laundering and counter-terrorist financing (AML/CTF) supervisor of UK cryptoasset businesses under the money laundering regulations. Learn more about the regime.

  9. Apply to approve an individual or firm

    Tasks for firms Published: 12/05/2015 Last modified: 27/04/2023
    Find out what you need to know before submitting your application.

  10. 2013 Disclosure Log

    Last modified: 22/11/2021
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2013. 
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