Search results

Showing 181 to 190 of 829 search results for senior managers regime.

181. Onshoring updates to our Handbook and Technical Standards

     Last modified: 26/05/2022
     We explain how we’ve prepared our Handbook and Technical Standards for the end of the transition period.

182. Impact Assessment: Extending SM&CR to solo-regulated firms [pdf]

     Impact assessments Published: 16/01/2020
     This impact assessment Extending the Senior Managers & Certification Regime to solo-regulated firms relates to CP17/25, CP17/40, PS18/14 and PS19/20

183. Stress testing for human beings

     Speeches Published: 27/09/2019 Last modified: 27/09/2019
     Speech by Charles Randell, Chair of the FCA, delivered at the Gleneagles Pensions & Savings Symposium.

184. Open enforcement investigations information - October 2020

     FOI Release Date of Release: 12/10/2020
     FCA provides information on the number of open enforcement investigations.

185. 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.

186. FCA publishes final rules to make those in the banking sector more accountable

     Press Releases Published: 07/07/2015 Last modified: 19/04/2016
     The final rules cover the Senior Managers Regime; the Certification Regime; and new Conduct Rules. ... In particular:. The Senior Managers Regime focuses on individuals who hold key roles and responsibilities in relevant firms.

187. Cryptoassets: AML / CTF regime - Registering with the FCA

     Published: 22/03/2023 Last modified: 01/07/2024
     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.

188. Pension scams

     Consumers Scams Published: 10/08/2017 Last modified: 20/03/2023
     Don’t let a scammer enjoy your retirement. Find out how pension scams work, how to avoid them, and what to do if you suspect a scam.

189. RCB key documents

     Published: 13/05/2016 Last modified: 27/03/2024
     Find our key documents and useful information if the regulated covered bonds regime applies to your firm.

190. Approved Persons Regime (APR) and coronavirus: our expectations

     Statements Published: 30/06/2020 Last modified: 30/06/2020
     We set out our expectations to help benchmark administrators and firms using Appointed Representative (AR) arrangements apply the Approved Persons Regime (APR) during coronavirus (Covid-19).