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Showing 91 to 100 of 250 search results for opened under the Senior Managers Regime.
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Client assets and coronavirus (Covid-19)
Summary of queries we have received and our position on client assets (CASS) compliance related to the current disruption caused by coronavirus (Covid-19). -
FCA confirms accountability rules for wholesale traders and interim rules on regulatory references
This wide package of accountability reforms also includes proposals for regulatory references for candidates applying for senior manager and significant harm functions under the certification regime in banks, building societies, credit ... the Senior -
Consumer Duty – information for firms
To help firms implement the Duty, we explain more on the areas of the Duty that we have been receiving firm queries on which are relevant for the wider market. -
Promoting competitiveness is a juggling act
Speech by Sarah Pritchard, Executive Director, Markets and Executive Director, International at TheCityUK International Conference 2024. -
Remote or hybrid working: FCA expectations for firms
It's likely many firms will continue new ways of working. The FCA sets out expectations so they can meet regulatory responsibilities. -
CP15/9: Strengthening accountability in banking: a new regulatory framework for individuals
We are also consulting on guidance on the presumption of responsibility that applies to senior managers under the Financial Services (Banking Reform) Act 2013. ... To give firms as much time as possible to prepare for the changes, this paper provides a -
Climate change and sustainable finance
The FCA's work on climate change and other environmental, social and governance (ESG) issues. -
About our data
The FCA publishes a wide range of data. Find out about the types of data available and how often it is published. -
About the FCA
The FCA regulates the conduct of nearly 45,000 businesses in the UK to ensure that financial markets work well. Find out more about our role. -
PS19/9: Applying the Senior Managers and Certification Regime to Claims Management Companies
This Policy Statement outlines how we will apply our Senior Managers and Certification Regime (SM&CR) to claims management companies (CMCs) and their staff. The regime aims to strengthen individual accountability in the firms we regulate and raise