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Showing 421 to 430 of 829 search results for senior managers regime.

421. Executive committees

     About us Who we are Published: 02/04/2016 Last modified: 15/07/2024
     Find out about the FCA's executive committee members and how our management structure operates to ensure markets work well.

422. Dear CEO LIBOR letter

     Statements Published: 19/09/2018 Last modified: 19/09/2018
     The purpose of the letters is to seek assurance that firms’ senior managers and Boards understand the risks associated with this transition and are taking appropriate action now so that firms

423. Apply to become a debt firm

     Firm authorisation Published: 27/04/2020 Last modified: 19/12/2023
     Find out how to apply to the FCA for authorisation if you’re a debt advice, debt collection or debt purchaser firm, or if you conduct debt administration.

424. 2015 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 2015. 

425. FCA Final Notice 2013: Jeffrey Simon Bennett [pdf]

     Final notices Published: 12/07/2013 Last modified: 19/05/2015
     This final notice refers to breaches of APER 6 related to misselling and lack of fitness/propriety in the investment advisers and platforms sector. We imposed a fine, a prohibition order and withdrawal of approval.

426. Our gender pay gap 2018

     Data Published: 19/11/2018 Last modified: 10/06/2022
     We report on our gender pay gap and our target to increase the senior representation of women at the FCA

427. Passporting between the UK and Gibraltar

     Firms Published: 12/01/2023 Last modified: 11/12/2023
     Passporting is no longer available except for firms that wish to passport between the UK and Gibraltar until 31 December 2023. Find out more.

428. Authorised and recognised funds

     Tasks for firms Published: 09/05/2015 Last modified: 17/07/2024
     Investment funds that are structured as collective investment schemes (CIS) must be authorised or recognised by us to be promoted to retail investors in the UK.

429. Senior management functions

     Tasks for regulated firms Published: 12/05/2015 Last modified: 08/12/2022
     Learn about senior management functions (SMFs) and how we assess them.

430. Training and competence

     Tasks for regulated firms Published: 12/05/2015 Last modified: 10/02/2023
     Our training and competence regime makes sure the financial services workforce is appropriately qualified and well regulated.