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Showing 251 to 260 of 480 search results for principles of the Senior Managers Regime.
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Penalties, remediation, and our General Principles
FCA Executive Director of Enforcement and Market Oversight, delivered this speech on financial penalties at the City & Financial Global Ltd event, London. -
FCA statement on Assessing Suitability Review 2
FCA statement on Assessing Suitability Review 2 -
Best of British Conference
Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the Best of British Conference hosted by JP Morgan, London. This is the text of the speech as drafted, which may differ -
Information on first names within the Senior Managements Function - August 2021
The FCA provides information on the 50 most common forenames within the Senior Managements Function. -
Cryptoassets: AML / CTF regime - Registering with the FCA
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. -
Information on open FCA enforcement investigations - December 2020
The FCA provides a breakdown by category of all open FCA investigations as at the 23 November 2020. -
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 publishes Annual Report and Accounts 2017/18
The Financial Conduct Authority (FCA) has today published its Annual Report and Accounts, which looks back on the key pieces of work undertaken by the organisation throughout 2017/18. -
PS15/31: Final Rules on changes to the Approved Persons Regime for insurers not subject to Solvency II
With the Bank of England and Financial Services Bill of October 2015, HM Treasury announced their intention to extend the Senior Managers & Certification Regime (SM&CR) for the banking sector to ... This does not affect the implementation of the revised -
FCA publishes 2016/17 Business Plan
extend the Senior Managers and Certification Regime to all FSMA firms, supervising the major UK FICC benchmarks and launching the 'Regulatory Sandbox' to give firms a safe space to test innovative