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Showing 151 to 160 of 391 search results for Extending the Senior Managers Regime.

  1. FCA statement on the publication of the FX Global Code

    Statements Published: 25/05/2017 Last modified: 25/05/2017
    The FCA welcomes today’s publication of the FX Global Code. As we set out in our Mission, standards can be a useful way for the industry to police itself in support of our regulatory work and can help firms to communicate expectations of

  2. Appointing intermediaries if you’re a funeral plan provider

    Firms Tasks for firms Published: 02/05/2021 Last modified: 01/11/2023
    Find out how to appoint intermediaries to distribute and sell your plans.

  3. Strengthening Accountability in Banking: Senior Managers & Certification Regime slides [pdf]

    Documents Published: 06/10/2015 Last modified: 03/08/2016
    These slides provide additional information for firms on the regime. They summarise existing information and do not represent formal FCA Guidance.

  4. Financial Services Register

    Registers and systems Published: 28/04/2016 Last modified: 04/11/2022
    The Financial Services Register is a public record of firms, individuals and other bodies that are PRA and/or FCA authorised. Search the register to find out if a firm is registered.

  5. Statement: Strengthening Accountability in Banking

    Statements Published: 03/03/2015 Last modified: 08/09/2016
    new Senior Managers and Certification Regime (SM&CR) will be 7 March 2016 and that transitional documentation will need to be submitted to the regulators by 8 February 2016. ... the accountability of bank senior management and to raise standards of

  6. Debating trust and confidence in banking

    Speeches Published: 28/05/2015 Last modified: 28/05/2015
    Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the ResPublica Vocational Banking event in London. This is the text of the speech as drafted, which may differ from the delivered version.

  7. FG19/2: Summary feedback for guidance [pdf]

    Finalised guidance Published: 07/03/2019
    This document provides a summary of the feedback we received, and our response, to consultation GC18/4 on the Senior Managers and Certification Regime: Proposed guidance on Statements of Responsibilities and Responsibilities Maps for FCA firms.

  8. 2016 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 2016. 

  9. Climate-related reporting requirements

    Published: 22/04/2021 Last modified: 06/10/2022
    The FCA's TCFD-aligned reporting requirements and our plans for extending the requirements.

  10. Information on enforcement investigations into senior managers - May 2022

    FOI Release Date of Release: 27/05/2022
    The FCA answers questions multiple questions on enforcement investigations into senior managers.
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