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Showing 171 to 180 of 366 search results for function under the Senior Managers Regime.

171. Apply to be an authorised AIFM

     Markets Published: 05/06/2016 Last modified: 05/07/2023
     Learn how to apply to us to become a full-scope AIFM or a small authorised AIFM, including what permissions you'll need and how much you'll need to pay.

172. CP15/9: Strengthening accountability in banking: a new regulatory framework for individuals

     Consultation papers Published: 16/03/2015 Last modified: 14/09/2015
     We are also consulting on guidance on the presumption of responsibility that applies to senior managers under the Financial Services (Banking Reform) Act 2013. ... To give firms as much time as possible to prepare for the changes, this paper provides a

173. Apply to become a consumer investments firm

     Firm authorisation Published: 09/11/2023 Last modified: 19/12/2023
     Find out how to apply to the FCA for authorisation if you're a consumer investments firm, such as a financial adviser or investment platform.

174. FCA publishes 2016/17 Business Plan

     Press Releases Published: 05/04/2016 Last modified: 05/04/2016
     extend the Senior Managers and Certification Regime to all FSMA firms, supervising the major UK FICC benchmarks and launching the 'Regulatory Sandbox' to give firms a safe space to test innovative ... PRA). The FCA has an overarching strategic objective

175. FCA publishes Annual Report for 2014/15

     Press Releases Published: 02/07/2015 Last modified: 14/09/2015
     implementing the new Senior Managers Regime. our market studies, including cash savings, retirement income and review of competition in the wholesale sector. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well

176. FCA confirms proposals in the event of a no-deal Brexit

     Press Releases Published: 28/02/2019 Last modified: 15/03/2019
     The Financial Conduct Authority (FCA) has published near-final rules and guidance that will apply in the event the UK leaves the EU without an implementation period.  As most of the changes proposed will be made under powers given to the FCA under

177. PS19/9: Applying the Senior Managers and Certification Regime to Claims Management Companies

     Policy statements Published: 20/09/2018 Last modified: 29/03/2019
     This Policy Statement outlines how we will apply our Senior Managers and Certification Regime (SM&CR) to claims management companies (CMCs) and their staff. The regime aims to strengthen individual accountability in the firms we regulate and raise

178. Consumer Duty – information for firms

     Tasks for firms Published: 02/10/2022 Last modified: 26/06/2024
     To help firms implement the Duty, we explain more on the areas of the Duty that we have been receiving firm queries on which are relevant for the wider market.

179. Letter from the Chairman to the Chancellor on Senior Managers and Certificate Scheme: extension to foreign banks

     Statements Published: 12/06/2014 Last modified: 13/06/2014
     1 Horse Guards Road. London. SW1A 2HQ. Thank you for your letter regarding the Senior Managers & Certificate Regime: extension to UK branches of foreign banks. ... well as the business that an institution does, the responsibilities that its senior

180. Coronavirus: Information for small businesses that are customers of financial services firms

     Firms Published: 07/06/2020 Last modified: 26/05/2021
     Information on the Government support available during the coronavirus (Covid-19) pandemic and as businesses look to recover and grow.