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Showing 41 to 50 of 96 search results for FCA consults on how to extend the Senior Managers Regime.

  1. Regulation round-up December 2017

    Newsletters Published: 14/12/2017 Last modified: 14/12/2017
    Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.
  2. Regulation round-up February 2019

    Newsletters Published: 21/02/2019 Last modified: 21/02/2019
    Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.
  3. FCA confirms accountability rules for wholesale traders and interim rules on regulatory references

    Press Releases Published: 04/02/2016 Last modified: 19/04/2016
    The Senior Managers Regime will ensure that senior managers can be held accountable for any misconduct that falls within their areas of responsibilities, the new certification regime and conduct rules aim ... the Senior Managers Regime focuses on
  4. FCA publishes 2016/17 Business Plan

    Press Releases Published: 05/04/2016 Last modified: 05/04/2016
    extend the Senior Managers and Certification Regime to all FSMA firms, supervising the major UK FICC benchmarks and launching the 'Regulatory Sandbox' to give firms a safe space to test innovative ... PRA). The FCA has an overarching strategic objective
  5. FCA outcomes and metrics

    Data Published: 07/04/2022 Last modified: 20/07/2022
    The FCA is committed to being clear about how it is accountable for its progress. On this page the FCA sets out its outcomes and the metrics it will use to measure them.
  6. Financial Conduct Authority confirms approach to improving responsibility and accountability in the banking sector

    Press Releases Published: 16/03/2015 Last modified: 16/03/2015
    sets out how the FCA will implement the Senior Managers Regime (SMR); and. ... The new framework comprises two regimes, a ‘Senior Managers Regime’ and a ‘Certification Regime’, which aim to encourage individuals to take greater responsibility for
  7. AIFMD updates

    Focus areas Published: 08/06/2016 Last modified: 05/03/2018
    Firms should monitor our website for updates on AIFMD.
  8. PS15/31: Final Rules on changes to the Approved Persons Regime for insurers not subject to Solvency II

    Policy statements Published: 16/12/2015 Last modified: 26/05/2016
    With the Bank of England and Financial Services Bill of October 2015, HM Treasury announced their intention to extend the Senior Managers & Certification Regime (SM&CR) for the banking sector to ... This does not affect the implementation of the revised
  9. CP15/5: Approach to non-executive directors in banking and Solvency II firms & Application of the presumption of responsibility to Senior Managers in banking firms

    Consultation papers Published: 23/02/2015 Last modified: 14/09/2015
    Under the revised approach the PRA and FCA will only make the following NEDs subject to approval and inclusion in the Senior Managers Regime (SMR) for relevant authorised persons:. ... For the FCA, this paper also consults on:. the approach to NEDs in
  10. FCA publishes Annual Report and Accounts 2017/18

    Press Releases Published: 19/07/2018 Last modified: 03/08/2018
    The Financial Conduct Authority (FCA) has today published its Annual Report and Accounts, which looks back on the key pieces of work undertaken by the organisation throughout 2017/18.