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Showing 1 to 10 of 146 search results for Non-Executive Directors and the Senior Managers Regime.

1. FCA sets out approach to Non-Executive Directors and the Senior Managers Regime

   Press Releases Published: 23/02/2015 Last modified: 23/02/2015
   FCA sets out approach to Non-Executive Directors and the Senior Managers Regime. ... Non-Executive Directors (NEDs) with specific responsibilities, such as Chairman, will come under the new Senior Managers Regime (SMR), the Financial Conduct Authority

2. 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
   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. ... CP15/5: Approach to non-executive directors in banking and Solvency II firms &

3. Applying conduct rules to all non-executive directors in the banking and insurance sectors: PS17/8

   Policy statements Published: 28/09/2016 Last modified: 03/05/2017
   This Policy Statement (PS) introduces final rules to extend our Code of Conduct sourcebook (COCON) to standard non-executive directors (NEDs) in banks, building societies, credit unions and dual-regulated investment firms (‘banks’) and insurance

4. FCA proposes new measures to maintain firms’ focus on culture

   Press Releases Published: 28/09/2016 Last modified: 28/09/2016
   The Financial Conduct Authority (FCA) will mark six months since the implementation of the Senior Managers’ and Certification Regime by providing feedback on implementation so far and proposing measures to further strengthen the regime. The

5. Approved Persons Regime

   Tasks for firms Published: 12/05/2015 Last modified: 27/04/2023
   Approved persons carry out certain activities on a firm's behalf and must be regulated by us. Learn about our requirements, conduct rules and 'fit and proper' test.

6. Transparency

   How we operate Published: 06/04/2016 Last modified: 20/12/2021
   The FCA sets out to be as open and accountable as possible, so it can be scrutinised by consumers, firms and Parliament. To do this the FCA publishes information about regulated firms and individuals, or it requires firms and individuals to do so.

7. FCA statement on proposals to introduce a public register

   Statements Published: 26/02/2018 Last modified: 26/02/2018
   Later this year, the Financial Conduct Authority (FCA) will consult on proposals to make information available on a wider range of individuals at authorised firms.

8. Senior Managers and Certification Regime Banking Stocktake Report

   Multi-firm reviews Published: 05/08/2019 Last modified: 05/08/2019
   The findings of our review into the embedding of the Senior Managers and Certification Regime (SM&CR) in the banking sector. The SM&CR was introduced for deposit-taking firms and dual-regulated investment firms (the banking sector) in March 2016.

9. CP15/31: Strengthening accountability in banking and insurance: regulatory references

   Consultation papers Published: 06/10/2015 Last modified: 08/12/2015
   Senior management functions under the Senior Managers Regime (SMR). Significant harm functions under the Certification Regime (CR). ... PRA senior insurance management functions under the Senior Insurance Managers Regime (SIMR).

10. Directory of certified and assessed persons

    Tasks for regulated firms Published: 04/09/2019 Last modified: 10/02/2023
    Find out how you can prepare and amend your certified and assessed person submission, and why it's important to confirm your details.