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Showing 11 to 20 of 96 search results for FCA consults on how to extend the Senior Managers Regime.

  1. Financial Advisers

    Financial advisers Last modified: 04/08/2022
    Financial advisers must be up to speed with the latest, relevant policy to better serve consumers. Read our comprehensive resources for financial advisers here.

  2. Sole advisers

    Sole advisers Last modified: 04/08/2022
    Sole advisers

  3. Regulating the funeral plans sector

    Firms Published: 05/02/2021 Last modified: 29/07/2022
    On 29 July 2022, the FCA started regulating the pre-paid funeral plans sector. Find out what this means for firms.

  4. Recognised industry codes

    About us How we regulate Published: 19/07/2018 Last modified: 19/07/2022
    The FCA's process for recognising industry codes of conduct for unregulated financial markets and activities.

  5. Senior Managers and Certification Regime

    Tasks for regulated firms Focus areas Published: 06/07/2015 Last modified: 23/05/2022
    Senior Managers and Certification regime

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

    Policy statements Published: 13/12/2017 Last modified: 04/07/2018
    It will also apply to Senior Managers of insurers and FCA solo-regulated firms when the Senior Managers and Certification Regime is extended. ... Firms should read the Policy Statement alongside the rules for how we will extend the Senior Managers and

  7. Senior Managers and Certification Regime: one year on

    News stories Published: 07/03/2017 Last modified: 07/03/2017
    Today marks one year since the implementation of the Senior Managers and Certification Regime (SMCR), a range of policy changes introduced by the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) to increase individual

  8. Senior Managers and Certification Regime: solo-regulated firms

    Tasks for regulated firms Published: 26/07/2017 Last modified: 23/05/2022
    Information for solo-regulated firms regarding the Senior Managers and Certification Regime (SM&CR).

  9. Senior Managers and Certification Regime: Finalising FCA rules

    Statements Published: 10/07/2019 Last modified: 10/07/2019
    We have been working closely with HM Treasury on preparation of the Commencement Order needed to enable the FCA to publish final rules on the extension of the Senior Managers and Certification Regime (SM&CR).

  10. Extension of the Senior Managers & Certification Regime (SM&CR) implementation periods for solo-regulated firms

    News stories Published: 30/06/2020 Last modified: 02/09/2020
    The deadline for solo-regulated firms to have undertaken the first assessment of the fitness and propriety of their Certified Persons has been delayed from 9 December 2020 until 31 March 2021.