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Showing 171 to 180 of 417 search results for introduction of the senior managers regime.

  1. Claims management companies

    Claims management companies Last modified: 13/03/2023
    On 1 April 2019 the FCA will become the regulator of claims management companies in England, Wales and Scotland. Find out more.

  2. FG19/2: Summary feedback for guidance [pdf]

    Finalised guidance Published: 07/03/2019
    This document provides a summary of the feedback we received, and our response, to consultation GC18/4 on the Senior Managers and Certification Regime: Proposed guidance on Statements of Responsibilities and Responsibilities Maps for FCA firms.

  3. Whistleblowing in practice: Case studies

    Firms Published: 21/10/2020 Last modified: 01/02/2024
    Are you thinking about blowing the whistle on wrongdoing? Find out how whistleblowing can help the FCA to act and how the FCA protects other firms.

  4. Information on enforcement investigations into Senior Managers - May 2022

    FOI Release Date of Release: 26/05/2022
    The FCA responds to multiple questions on enforcement investigations into Senior Managers.

  5. FCA statement on proposals to introduce a public register

    Statements Published: 26/02/2018 Last modified: 26/02/2018
    Later this year, the Financial Conduct Authority (FCA) will consult on proposals to make information available on a wider range of individuals at authorised firms.

  6. Culture and governance

    Firms Tasks for firms Published: 12/05/2015 Last modified: 04/07/2024
    Read about the FCA's work on culture and governance, including details of how to get involved.

  7. Debating trust and confidence in banking

    Speeches Published: 28/05/2015 Last modified: 28/05/2015
    Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the ResPublica Vocational Banking event in London. This is the text of the speech as drafted, which may differ from the delivered version.

  8. The Senior Managers and Certification Regime: Guide for FCA solo-regulated firms [pdf]

    Policy statements Published: 04/07/2018

  9. Dear CEO letter: Authorised push payment (APP) fraud [pdf]

    Correspondence Published: 31/01/2018
    We have published a Dear CEO letter about authorised push payment (APP) fraud and the APP Best Practice Standards developed by UK Finance, asking firms to consider how they are tackling APP fraud within the context of the Senior Managers &

  10. Strengthening accountability in banking and insurance: regulatory references final rules: PS16/22

    Policy statements Published: 28/09/2016 Last modified: 24/02/2017
    We are publishing our final rules on regulatory references.