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Showing 41 to 50 of 389 search results for Extending the Senior Managers Regime.

41. CP17/25: Individual accountability - extending the Senior Managers and Certification Regime to all FCA firms [pdf]

    Consultation papers Published: 26/07/2017
    We are consulting on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms.

42. PS18/15: Extending the Senior Managers & Certification Regime to insurers - Feedback to CP17/26 and CP17/41 and near-final rules [pdf]

    Policy statements Published: 04/07/2018

43. PS18/14: Extending the Senior Managers & Certification Regime to FCA firms - Feedback to CP17/25 and CP17/40, and near-final rules [pdf]

    Policy statements Published: 04/07/2018

44. PS16/3: Strengthening accountability in banking: Feedback on CP15/22 and CP15/31; rules on extending the certification regime to wholesale market activities and interim rules on referencing [pdf]

    Policy statements Published: 04/02/2016 Last modified: 04/02/2016
    In this policy statement we set out final rules for the new accountability framework for individuals working in banks, building societies and credit unions who perform certain wholesale market activities.

45. SM&CR categorisation for solo-regulated firms

    Tasks for regulated firms Published: 31/07/2019 Last modified: 06/02/2023
    Under SM&CR, solo-regulated firms are categorised as limited scope, core or enhanced. Find out which category your firm is in and how you can review this.

46. Extending the Senior Managers and Certification Regime: Cost-Benefit Analysis [pdf]

    Research insights Published: 04/07/2018

47. PS18/16: The Duty of Responsibility for insurers and FCA solo-regulated firms

    Policy statements Published: 13/12/2017 Last modified: 04/07/2018
    Firms should read the Policy Statement alongside the rules for how we will extend the Senior Managers and Certification Regime. ... We have also published Guides to the Senior Managers and Certification Regime for firms.

48. Impact Assessment: Extending SM&CR to solo-regulated firms [pdf]

    Impact assessments Published: 16/01/2020
    This impact assessment Extending the Senior Managers & Certification Regime to solo-regulated firms relates to CP17/25, CP17/40, PS18/14 and PS19/20

49. Culture and governance

    Firms Tasks for regulated firms Published: 12/05/2015 Last modified: 09/02/2023
    Read about the FCA's work on culture and governance, including details of how to get involved.

50. Culture and conduct - extending the accountability regime

    Speeches Published: 20/09/2017 Last modified: 20/09/2017
    Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at City and Financial Summit, London.