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Showing 81 to 90 of 250 search results for opened under the Senior Managers Regime.

  1. Market Watch 66

    Newsletters Published: 11/01/2021 Last modified: 22/01/2021
    In this Market Watch, we set out our expectations for firms on recording telephone conversations and electronic communications when alternative working arrangements are in place, including increased homeworking.

  2. Shaping the future in asset management

    Speeches Published: 30/10/2013 Last modified: 30/10/2013
    Keynote speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Asset Management Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  3. Approved Persons help text: Connect

    Published: 12/05/2016 Last modified: 04/10/2023
    Read the FCA Connect help text for Approved Persons.

  4. Cryptoassets: AML / CTF regime - Registering with the FCA

    Published: 22/03/2023 Last modified: 01/07/2024
    You must register with us if you want to provide cryptoasset services that come within the scope of money laundering regulations. Find out if this applies to you and how to register.

  5. Looking ahead to 2014

    Speeches Published: 09/12/2013 Last modified: 09/12/2013
    Speech by Martin Wheatley, Chief Executive of the FCA, at the ICI Global Trading and Market Structure Conference. This is the text of the speech as drafted, which may differ from the delivered version.

  6. Wholesale markets firm applicants

    Firm authorisation Published: 04/07/2023 Last modified: 02/07/2024
    If you're a wholesale investment firm, you have to be authorised by us. Learn how to prepare your application and what you need to read first.

  7. Information on FCA's recent investigation into NatWest - December 2021

    FOI Release Date of Release: 24/12/2021
    The FCA responds to questions regarding its investigation into NatWest for breaches of the Money Laundering Regulations 2007.

  8. CP15/31: Strengthening accountability in banking and insurance: regulatory references

    Consultation papers Published: 06/10/2015 Last modified: 08/12/2015
    Senior management functions under the Senior Managers Regime (SMR). Significant harm functions under the Certification Regime (CR). ... PRA senior insurance management functions under the Senior Insurance Managers Regime (SIMR).

  9. Information on financial services partnerships - November 2022

    FOI Release Date of Release: 15/11/2022
    FCA provides information on financial services partnerships.

  10. SM&CR categorisation for solo-regulated firms

    Tasks for regulated firms Published: 31/07/2019 Last modified: 06/02/2023
    Under SM&CR, solo-regulated firms are categorised as limited scope, core or enhanced. Find out which category your firm is in and how you can review this.