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Showing 211 to 220 of 829 search results for senior managers regime.
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Information on financial services partnerships - November 2022
FCA provides information on financial services partnerships. -
Building better foundations in AI
Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at The Alan Turing Institute’s Framework for Responsible Adoption of Artificial Intelligence in the Financial Services Industry event. -
Robo Advice: an FCA perspective
Speech by Bob Ferguson, Head of Department, Strategy & Competition Division, FCA -
Statement on the further investigative steps in relation to RBS GRG
The Financial Conduct Authority (FCA) has today provided an update on its investigation in to Royal Bank of Scotland’s (RBS) treatment of small and medium-sized enterprise (SME) customers transferred to its Global Restructuring Group (GRG). -
Recognised industry codes
The FCA's process for recognising industry codes of conduct for unregulated financial markets and activities. -
Outlining the FCA’s approach to authorisation
Speech by Sarah Rapson, Director, Authorisations at the Association of Professional Compliance Consultants (APCC) Annual Conference. -
CP15/42: Quarterly Consultation Paper No. 11
make consequential changes to various RDR forms as a result of the Senior Managers’ Regime. -
Submit a change in control notification
Find out how to prepare your notification and understand what happens after you submit it. -
Joint FCA and PRA statement on SM&CR and coronavirus: our expectations of dual-regulated firms - December 2020 update
In April 2020, we set out our expectations to help dual-regulated firms apply the SM&CR following the exceptional circumstances that arose from the coronavirus pandemic (Covid-19). We offered some additional flexibility in the application of the -
Service standards 2018/19
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 2018/19.