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Showing 91 to 100 of 619 search results for under the Senior Managers Regime.

  1. The FCA’s role in preparing for Brexit

    Statements Published: 27/06/2018 Last modified: 31/01/2020
    Further to the announcement from the Treasury on its approach to amending financial services legislation under the European Union (Withdrawal) Act, this statement provides stakeholders with an update on how we are preparing for the UK leaving the

  2. Market Watch 66

    Newsletters Published: 11/01/2021 Last modified: 22/01/2021
    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.

  3. Approved Persons help text: Connect

    Published: 12/05/2016 Last modified: 04/10/2023
    Read the FCA Connect help text for Approved Persons.

  4. Information on FCA's recent investigation into NatWest - December 2021

    FOI Release Date of Release: 24/12/2021
    The FCA responds to questions regarding its investigation into NatWest for breaches of the Money Laundering Regulations 2007.

  5. Looking ahead to 2014

    Speeches Published: 09/12/2013 Last modified: 09/12/2013
    Speech by Martin Wheatley, Chief Executive of the FCA, at the ICI Global Trading and Market Structure Conference. This is the text of the speech as drafted, which may differ from the delivered version.

  6. FCA confirms accountability rules for wholesale traders and interim rules on regulatory references

    Press Releases Published: 04/02/2016 Last modified: 19/04/2016
    This wide package of accountability reforms also includes proposals for regulatory references for candidates applying for senior manager and significant harm functions under the certification regime in banks, building societies, credit ... the Senior

  7. Wholesale markets firm applicants

    Firm authorisation Published: 04/07/2023 Last modified: 02/07/2024
    If you're a wholesale investment firm, you have to be authorised by us. Learn how to prepare your application and what you need to read first.

  8. Information on financial services partnerships - November 2022

    FOI Release Date of Release: 15/11/2022
    FCA provides information on financial services partnerships.

  9. CP15/9: Strengthening accountability in banking: a new regulatory framework for individuals

    Consultation papers Published: 16/03/2015 Last modified: 14/09/2015
    We are also consulting on guidance on the presumption of responsibility that applies to senior managers under the Financial Services (Banking Reform) Act 2013. ... To give firms as much time as possible to prepare for the changes, this paper provides a

  10. Consumer Duty – information for firms

    Tasks for firms Published: 02/10/2022 Last modified: 26/06/2024
    To help firms implement the Duty, we explain more on the areas of the Duty that we have been receiving firm queries on which are relevant for the wider market.
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