Search results
Showing 51 to 60 of 187 search results for legal function under the Senior Managers Regime.
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Transparency
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. -
Regulated covered bonds
Covered bonds are a type of secured bond usually backed by mortgages or public sector loans. Read about the UK regulated covered bonds regime. -
Information on investigations into breaches of COCON - May 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. -
Guidance on the duty of responsibility: PS17/9
In this Policy Statement, we set out guidance in the Decision Procedure and Penalties Manual (DEPP) on how we will enforce the ‘duty of responsibility’. -
Tackling the hard questions
Speech by Mark Steward, director of enforcement and market oversight, at the Thomson Reuters Annual Compliance and Risk Summit 2016. -
Accountability, from debate to reality
Speech by Martin Wheatley, CEO of the Financial Conduct Authority, delivered at the City & Financial conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
AIFMD updates
There are several updates the FCA has published on Alternative Investment Fund Managers Regulations. Find out about the FCA's updated guides and forms. -
Data on enforcement investigations, including into senior managers - June 2022
The FCA answers mutiple questions regarding enforcement investigations, including into Senior Managers. -
Information on investigations opened under the Senior Managers' Regime - June 2022
The FCA provides information on investigations opened under the Senior Managers' Regime. -
REP008: Conduct Rules reporting for solo-regulated firms
Under the Senior Managers and Certification Regime (SM&CR), solo-regulated firms need to tell us whether disciplinary action has been taken against individuals, who aren't Senior Managers, for Conduct Rules breaches.