Search results
Showing 81 to 90 of 619 search results for under the Senior Managers Regime.
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Regulating the funeral plans sector
The FCA regulates pre-paid funeral plans, which means any funeral plan provider or intermediary must be authorised. Find out what this means for your firm. -
Repeal and replacement of assimilated law
Documents on the repeal and replacement of provisions in the retained EU law. -
Approved Persons Regime (APR) and coronavirus: our expectations
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). -
Transforming culture in financial services
Speech by Andrew Bailey, Chief Executive of the FCA, at the Transforming culture in financial services conference. -
Regimes for EEA firms and investment funds that passported into the UK
EEA-based firms and investment funds can no longer passport into the UK. Find out about the regimes that help those firms operate or wind down their business. -
Information on nonfinancial misconduct and SMCR investigations - June 2022
The FCA provides data on nonfinancial misconduct and SMCR investigations. -
The supervision of sponsors
Our supervision of sponsors is distinct from our supervision of authorised firms. We focus on ensuring sponsors fulfil their responsibilities under the listing regime. -
Market Watch 66
In this Market Watch, we set out our expectations for firms on recording telephone conversations and electronic communications when alternative working arrangements are in place, including increased homeworking. -
Approved Persons help text: Connect
Read the FCA Connect help text for Approved Persons. -
Our investigations – the evolving approach
Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum.