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Showing 111 to 120 of 250 search results for opened under the Senior Managers Regime.

  1. PS15/29: Strengthening accountability in banking: Final amendments to the Decision Procedure and Penalties Manual and the Enforcement Guide

    Policy statements Published: 09/12/2015 Last modified: 26/05/2016
    new accountability regime (including the Senior Managers Regime and the Certification Regime), and use the new powers created by the Financial Services (Banking Reform) Act 2013 (the Banking Reform Act). ... Individuals subject to either the Senior

  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. 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.

  4. Principals and appointed representatives

    Tasks for firms Firms Published: 09/05/2015 Last modified: 24/04/2024
    If you’re a principal firm for an appointed representative (AR), find out what your responsibilities are and when to notify the FCA.

  5. Our approach to international firms

    Corporate documents Published: 19/03/2024 Last modified: 19/03/2024
    Find out what standards we expect from international firms providing financial services in the UK, or preparing to apply for full UK authorisation.

  6. Our Perimeter Report

    Annual reports Published: 20/07/2022 Last modified: 05/04/2024
    Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products

  7. PS19/7: Finalising the Directory

    Policy statements Published: 08/03/2019 Last modified: 08/03/2019
    This Policy Statement sets out the final rules on the Directory, a new public register for checking the details of key individuals working in the financial services. It also summarises the feedback we received to Consultation Paper CP18/19 and our

  8. Fair and effective markets review

    Speeches Published: 14/07/2015 Last modified: 23/10/2015
    The recommendations seek to embed accountability with front-line staff for their actions and to make senior managers properly responsible for their role in controlling their businesses and managing their staff. ... First, the Senior Managers and

  9. Primary Market Bulletin Issue No. 30

    Newsletters Published: 19/08/2020 Last modified: 21/08/2020
    In this special edition, we publish general news and information, including changes to our Knowledge Base.

  10. Service standards 2019/20

    Data Published: 24/06/2020 Last modified: 24/06/2020
    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.