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Showing 231 to 240 of 480 search results for principles of the Senior Managers Regime.

  1. Our investigations – the evolving approach

    Speeches Published: 15/06/2017 Last modified: 15/06/2017
    Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum.

  2. PRA and FCA conclude investigations into senior managers in relation to the 2008 failure of HBOS plc

    Press Releases Published: 26/08/2022 Last modified: 26/08/2022
    PRA and FCA joint investigations into certain former senior managers at HBOS plc have now concluded with a decision by each of the Authorities’ independent decision-makers to take no further action.

  3. 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.

  4. FG19/2: SM&CR: Guidance on Statements of Responsibilities and Responsibilities Maps

    Finalised guidance Published: 08/03/2019 Last modified: 30/08/2019
    This page explains the FCA's final guidance on practical assistance and information to solo-regulated firms when preparing their Statements of Responsibilities and Responsibilities Maps.

  5. UCITS V: requirements for managers and depositaries

    Tasks for regulated firms Published: 05/08/2015 Last modified: 16/02/2023
    Read more on how increased powers for EU regulators ensures protection and confidence for investors in Undertakings for collective investment in transferable securities (UCITS).

  6. 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.

  7. The supervision of sponsors

    Markets Published: 04/05/2016 Last modified: 13/06/2022
    Our supervision of sponsors is distinct from our supervision of authorised firms. We focus on ensuring sponsors fulfil their responsibilities under the listing regime.

  8. Regulating the funeral plans sector

    Firms Published: 05/02/2021 Last modified: 04/12/2023
    The FCA regulates pre-paid funeral plans, which means any funeral plan provider or intermediary must be authorised. Find out what this means for your firm.

  9. 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.

  10. FCA introduces final rules on the Directory of financial services workers

    Press Releases Published: 08/03/2019 Last modified: 08/03/2019
    The Financial Conduct Authority (FCA) has today announced the final rules on the Directory - a new public register that enables consumers, firms and other stakeholders to find information on key individuals working in financial services.