Filter results
Category
Filter by document type
Document type
Filter by year
Sort by:

Search results

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. Regulation round-up March 2019

    Newsletters Published: 26/03/2019 Last modified: 26/03/2019
    Regulation round-up is our monthly update on the latest news that affects your sector.
  4. Regulation round-up November 2018

    Newsletters Published: 15/11/2018 Last modified: 15/11/2018
    Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.
  5. 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
  6. 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
  7. 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.
  8. Transparency

    How we operate Published: 06/04/2016 Last modified: 02/06/2021
    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.
  9. 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.
  10. Regulatory Decisions Committee members

    About us Our structure Published: 07/04/2016 Last modified: 24/03/2021
    The Regulatory Decisions Committee (RDC) takes certain decisions on behalf of the FCA. Read the biographies of the RDC members.