Search results
Showing 101 to 110 of 187 search results for legal function under the Senior Managers Regime.
-
Best of British Conference
Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the Best of British Conference hosted by JP Morgan, London. This is the text of the speech as drafted, which may differ -
Rolling regulation forwards
Speech by Nikhil Rathi, FCA Chief Executive delivered at the UK Finance annual dinner. -
Service standards 2019/20
The FCA measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2019/20. -
2015 Disclosure Log
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. -
Principals and appointed representatives
If you’re a principal firm for an appointed representative (AR), find out what your responsibilities are and when to notify the FCA. -
Training and competence
Our training and competence regime makes sure the financial services workforce is appropriately qualified and well regulated. -
Authorisation and registration application fees
Find out how much your firm’s application fee will be to become authorised by us, or registered with us. -
Information on the number of Senior Managers Regime applications in 2019/20 broken down by title on application - June 2020
FCA provides information on the number of Senior Managers Regime applications in 2019/20 broken down by title. -
Our approach to supervision
Our approach to supervision sets out how we carry out our regulatory oversight. It is designed to help firms, consumers and markets understand how we work, and fulfil our accountability to Parliament and to the public. -
Credit unions carrying out consumer credit activities
Find out how to notify the FCA or apply for permission to carry out Conditional Sale, Hire Purchase or other types of consumer credit activity.