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Showing 381 to 390 of 711 search results for new Senior Managers Regime.

  1. Authorised and recognised funds

    Tasks for firms Published: 09/05/2015 Last modified: 17/07/2024
    Investment funds that are structured as collective investment schemes (CIS) must be authorised or recognised by us to be promoted to retail investors in the UK.

  2. Executive committees

    About us Who we are Published: 02/04/2016 Last modified: 15/07/2024
    Find out about the FCA's executive committee members and how our management structure operates to ensure markets work well.

  3. Restrictions placed on Mrs Lisa Campbell

    News stories Published: 04/04/2023 Last modified: 31/08/2023
    On 3 April 2023, we imposed a number of conditions on the approval of Mrs Lisa Campbell as a senior manager of Campbell & Associates Independent Financial Advice Limited.

  4. UK AIFM forms

    Firms Investment managers Focus areas Published: 08/06/2016 Last modified: 08/02/2023
    We list the forms UK AIFMs need in order to vary permissions, submit applications, notifications and make other changes.

  5. Diversity, Equity and Inclusion (DEI) Innovation Spotlight

    Published: 24/08/2022 Last modified: 22/03/2023
    Find out about our Innovation hub's Diversity, Equity and Inclusion spotlight encouraging FinTech innovation in the DEI space

  6. Information on senior manager appointments - August 2022

    FOI Release Date of Release: 09/08/2022
    The FCA provides information information on senior manager appointments.

  7. The New Market Infrastructure

    Speeches Published: 16/05/2014 Last modified: 29/11/2016
    Keynote speech by David Lawton, Director of Markets, at the Economist Bellwether Conference. This is the text of the speech as drafted, which may differ from the delivered version.

  8. FCA makes three senior hires

    Press Releases Published: 05/04/2022 Last modified: 05/04/2022
    The FCA has appointed two new Directors of Authorisations as it successfully fills 95 new authorisation roles. A new Finance Director will also join the regulator this spring. 

  9. Market Watch 74

    Newsletters Published: 25/07/2023 Last modified: 25/07/2023
    n this Market Watch, we describe some of our recent supervisory observations, covering RTS 22 transaction reporting and the submission of financial instrument reference data under RTS 23.

  10. Knowledge Base

    Markets Primary markets Published: 02/05/2016 Last modified: 29/04/2024
    The Knowledge Base is our source of technical guidance on our Listing Rules, Prospectus Regulation Rules and Disclosure and Transparency Rules.