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Showing 311 to 320 of 619 search results for under the Senior Managers Regime.

311. Brexit: the FCA confirms final rules for firms

     Press Releases Published: 29/03/2019 Last modified: 29/03/2019
     The Financial Conduct Authority (FCA) has today published its final instruments and guidance that will apply in the event the UK leaves the EU without a deal or an implementation period.

312. 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 &

313. Dealing with EEA firms and investment funds

     Consumers Published: 15/12/2020 Last modified: 19/06/2024
     What to check if you’re dealing with an EEA firm in supervised run-off (SRO) or contractual run-off (CRO), or a fund in the temporary marketing permission regime (TMPR).

314. Our pay gap data 2020

     Data Published: 10/09/2020 Last modified: 15/07/2024
     The FCA is committed to reducing its gender, ethnicity and disability pay gaps and will work more closely with everyone in the FCA to make sure that the actions it takes will create lasting cultural change.

315. Market Watch 74

     Newsletters Published: 25/07/2023 Last modified: 25/07/2023
     n this Market Watch, we describe some of our recent supervisory observations, covering RTS 22 transaction reporting and the submission of financial instrument reference data under RTS 23.

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

     Policy statements Published: 04/07/2018

317. Our pay gap data 2021

     Data Published: 15/07/2021 Last modified: 13/07/2022
     Our pay gap data for 2021, including gender, disability and ethnicity.

318. 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.

319. 2013 Disclosure Log

     Last modified: 22/11/2021
     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 2013. 

320. NPPR supervisory co-operation arrangements (MoUs)

     Published: 27/05/2016 Last modified: 25/09/2023
     The FCA provides information on Memorandums of Understanding (MoUs) and it is a pre-condition under the Alternative Investment Fund Managers Directive (AIFMD)