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Showing 361 to 370 of 711 search results for new Senior Managers Regime.

  1. Financial crime

    Tasks for firms Published: 30/07/2015 Last modified: 11/03/2024
    Integrity of the UK's financial markets requires the FCA to ensure firms have effective systems and controls to detect, prevent and deter financial crime. Learn from good and poor examples and browse our guide to financial crime.

  2. FCA makes senior hires

    Press Releases Published: 03/05/2022 Last modified: 03/05/2022
    As the FCA continues its transformation, it has recruited three experienced individuals to its senior leadership team.

  3. 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.

  4. 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 &

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

    Policy statements Published: 04/07/2018

  6. Our gender and ethnicity pay gaps 2019

    Data Published: 19/11/2018 Last modified: 10/06/2022
    We report on our gender and ethnicity pay gaps.

  7. Our pay gap data 2021

    Data Published: 15/07/2021 Last modified: 13/07/2022
    Our pay gap data for 2021, including gender, disability and ethnicity.

  8. Dealing with EEA firms and investment funds

    Consumers Published: 15/12/2020 Last modified: 19/06/2024
    What to check if you’re dealing with an EEA firm in supervised run-off (SRO) or contractual run-off (CRO), or a fund in the temporary marketing permission regime (TMPR).

  9. Impact Assessment: Extending SM&CR to solo-regulated firms [pdf]

    Impact assessments Published: 16/01/2020
    This impact assessment Extending the Senior Managers & Certification Regime to solo-regulated firms relates to CP17/25, CP17/40, PS18/14 and PS19/20

  10. Open enforcement investigations information - October 2020

    FOI Release Date of Release: 12/10/2020
    FCA provides information on the number of open enforcement investigations.