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Showing 201 to 210 of 480 search results for principles of the Senior Managers Regime.

  1. Whistleblowing in practice: Case studies

    Firms Published: 21/10/2020 Last modified: 01/02/2024
    Are you thinking about blowing the whistle on wrongdoing? Find out how whistleblowing can help the FCA to act and how the FCA protects other firms.

  2. FG19/2: Summary feedback for guidance [pdf]

    Finalised guidance Published: 07/03/2019
    This document provides a summary of the feedback we received, and our response, to consultation GC18/4 on the Senior Managers and Certification Regime: Proposed guidance on Statements of Responsibilities and Responsibilities Maps for FCA firms.

  3. Culture and governance

    Firms Tasks for firms Published: 12/05/2015 Last modified: 04/07/2024
    Read about the FCA's work on culture and governance, including details of how to get involved.

  4. FCA statement on proposals to introduce a public register

    Statements Published: 26/02/2018 Last modified: 26/02/2018
    Later this year, the Financial Conduct Authority (FCA) will consult on proposals to make information available on a wider range of individuals at authorised firms.

  5. Information on enforcement investigations into Senior Managers - May 2022

    FOI Release Date of Release: 26/05/2022
    The FCA responds to multiple questions on enforcement investigations into Senior Managers.

  6. 2018 Disclosure Log

    Last modified: 14/09/2020
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2018. 

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

    Policy statements Published: 04/07/2018

  8. 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 &

  9. Directory of certified and assessed persons

    Tasks for regulated firms Published: 04/09/2019 Last modified: 10/02/2023
    Find out how you can prepare and amend your certified and assessed person submission, and why it's important to confirm your details.

  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.