Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 161 to 170 of 417 search results for introduction of the senior managers regime.

  1. Extending the Senior Managers and Certification Regime: Cost-Benefit Analysis [pdf]

    Research insights Published: 04/07/2018

  2. Data on enforcement investigations, including into senior managers - June 2022

    FOI Release Date of Release: 06/06/2022
    The FCA answers mutiple questions regarding enforcement investigations, including into Senior Managers.

  3. Firms

    Firms Last modified: 27/07/2022
    Tasks for regulated firms and authorisation information for new firms

  4. Event costs

    Last modified: 08/04/2024
    Overall approximate costs for public events that we organise and publicise, from April 2013 onwards.

  5. FCA proposes new Directory of financial services workers

    Press Releases Published: 04/07/2018 Last modified: 04/07/2018
    The Financial Conduct Authority (FCA) has today proposed a new Directory to help consumers and firms check the status and history of individuals working in financial services.

  6. Overall responsibility and the legal function: DP16/4

    Discussion papers Published: 28/09/2016 Last modified: 23/01/2019
    In September 2016, we launched Discussion Paper DP16/4 to clarify how and why the legal function is currently captured under the Senior Managers and Certification Regime (SM&CR) and to consider whether it should continue to be part of the regime.

  7. Transparency

    How we operate Published: 06/04/2016 Last modified: 20/12/2021
    The FCA sets out to be as open and accountable as possible, so it can be scrutinised by consumers, firms and Parliament. To do this the FCA publishes information about regulated firms and individuals, or it requires firms and individuals to do so.

  8. Compliance, Culture and Evolving Regulatory Expectations

    Speeches Published: 26/04/2021 Last modified: 26/04/2021
    Speech by Mark Steward, Executive Director of Enforcement and Market Oversight.

  9. Information on investigations into breaches of COCON - May 2022

    FOI Release Date of Release: 27/05/2022
    The FCA provides data on how many investigations into breaches of COCON it has opened since the inception of the Conduct Rules under SMCR.

  10. Appointing intermediaries if you’re a funeral plan provider

    Firms Tasks for firms Published: 02/05/2021 Last modified: 01/11/2023
    Find out how to appoint intermediaries to distribute and sell your plans.