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Showing 61 to 70 of 533 search results for Changes to the Senior Managers Regime.

  1. Investment Managers

    Investment managers Last modified: 23/09/2021
    Investment managers need to be authorised and utilise the available support to best help consumers. Find useful links, publications and expectations for investment management firms.
  2. Wealth managers

    Wealth managers Last modified: 23/09/2021
    Wealth managers
  3. Approved Persons Regime

    Tasks for regulated firms Published: 12/05/2015 Last modified: 01/09/2021
    Firms need at least one FCA approved person to be registered for the appropriate controlled functions. Learn how to pass the FCA's 'fit and proper' test required by all approved persons.
  4. New accountability regime for banks and insurers comes into force

    Press Releases Published: 07/03/2016 Last modified: 19/04/2016
    The Senior Managers Regime for the banking sector and the Senior Insurance Managers Regime both come into force today. ... As a subsidiary of the FCA, the Payment Systems Regulator (PSR), has also applied the Senior Managers Regime internally.
  5. Nothing to fear from high standards

    Speeches Published: 16/03/2015 Last modified: 03/11/2016
    Speech by Martin Wheatley, Chief Executive of the FCA, delivered at Bloomberg. This is the text of the speech as drafted, which may differ from the delivered version.
  6. FCA introduces new rules on whistleblowing

    Press Releases Published: 06/10/2015 Last modified: 19/04/2016
    The Accountability Regime in relevant authorised persons. The Senior Managers Regime focuses on individuals who hold key roles and responsibilities in relevant firms. ... Individuals subject to either the Senior Managers Regime or the Certification
  7. Financial Advisers

    Financial advisers Last modified: 23/09/2021
    Financial advisers must be up to speed with the latest, relevant policy to better serve consumers. Read our comprehensive resources for financial advisers here.
  8. Personal accountability

    Speeches Published: 02/12/2015 Last modified: 19/04/2016
    Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the City & Financial conference on Personal Accountability in the Financial Services Industry, 2 December 2015, London. This is the text of the speech as drafted, which may differ
  9. Sole advisers

    Sole advisers Last modified: 23/09/2021
    Sole advisers
  10. Regulation round-up March 2016

    Newsletters Published: 17/03/2016 Last modified: 17/03/2016
    Senior Managers Regime (SMR). Customer transactions. PS: Consequential changes to the SMR. ... Senior Managers Regime. FCA: Live & Local.