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Showing 141 to 150 of 829 search results for senior managers regime.
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2019 Disclosure Log
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 2019. -
FG19/2: Summary feedback for guidance [pdf]
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. -
Looking ahead to 2014
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. -
Market Watch 66
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. -
Wholesale markets firm applicants
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. -
What makes good conduct regulation?
Speech by John Griffith Jones, Chairman at the FCA, delivered at the Cambridge Judge Business School. -
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. -
FCA publishes Annual Report for 2014/15
implementing the new Senior Managers Regime. our market studies, including cash savings, retirement income and review of competition in the wholesale sector. -
Independence, confidence and fairness
Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at Bloomberg, in the City of London, on 4 February 2016, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Service standards 2019/20
The FCA measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2019/20.