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Showing 241 to 250 of 417 search results for introduction of the senior managers regime.

  1. Approved Persons help text: Connect

    Published: 12/05/2016 Last modified: 04/10/2023
    Read the FCA Connect help text for Approved Persons.

  2. Authorisation and registration application fees

    Firm authorisation Published: 07/08/2017 Last modified: 15/07/2024
    Find out how much your firm’s application fee will be to become authorised by us, or registered with us.

  3. 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.

  4. FCA confirms recognition of the FX Global and UK Money Markets Codes

    Statements Published: 26/06/2019 Last modified: 26/06/2019
    Following consultation feedback, the Financial Conduct Authority (FCA) confirmed that it is recognising the following voluntary market codes of best practice under its codes recognition scheme: FX Global Code and UK Money Markets Code.

  5. Whistleblowing in UK branches of foreign banks: PS17/7

    Policy statements Published: 28/09/2016 Last modified: 03/05/2017
    This Policy Statement introduces our final rules on whistleblowing requirements for UK branches of foreign banks. It does not apply to UK branches of overseas insurers.

  6. MiFID II: product governance review

    Multi-firm reviews Published: 26/02/2021 Last modified: 15/04/2021
    In this MiFID II review we looked at product governance in a sample of 8 asset management firms.

  7. FCA sets out its priorities for 2019/20

    Press Releases Published: 17/04/2019 Last modified: 13/03/2024
    The FCA published our Business Plan for 2019/20, outlining key priorities for the year.

  8. CASS compliance – the bigger picture

    Speeches Published: 02/12/2014 Last modified: 19/12/2014
    Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version.

  9. Recognised industry codes

    About us How we regulate Published: 19/07/2018 Last modified: 10/02/2023
    The FCA's process for recognising industry codes of conduct for unregulated financial markets and activities.

  10. 2015 Disclosure Log

    Last modified: 30/01/2020
    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 2015.