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Showing 151 to 160 of 829 search results for senior managers regime.

151. Repeal and replacement of assimilated law

     Firms Published: 13/07/2023 Last modified: 01/05/2024
     Documents on the repeal and replacement of provisions in the retained EU law.

152. 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.

153. FCA proposes new Directory of financial services workers

     Press Releases Published: 04/07/2018 Last modified: 04/07/2018
     The Financial Conduct Authority (FCA) has today proposed a new Directory to help consumers and firms check the status and history of individuals working in financial services.

154. 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 &

155. About our data

     Last modified: 14/03/2024
     The FCA publishes a wide range of data. Find out about the types of data available and how often it is published.

156. Shaping the future in asset management

     Speeches Published: 30/10/2013 Last modified: 30/10/2013
     Keynote speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Asset Management Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

157. Information on investigations into breaches of COCON - May 2022

     FOI Release Date of Release: 27/05/2022
     The FCA provides data on how many investigations into breaches of COCON it has opened since the inception of the Conduct Rules under SMCR.

158. 2014 Disclosure Log

     Last modified: 30/01/2020
     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 2014. 

159. FCA publishes final report into asset management sector

     Press Releases Published: 28/06/2017 Last modified: 28/06/2017
     The Financial Conduct Authority (FCA) has today published the final findings of its asset management market study and announced the package of remedies it will take forward to address the concerns identified in its interim report into the sector.

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

     Policy statements Published: 04/07/2018