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Showing 1 to 10 of 523 search results for Senior Managers Regime applications.

1. Information on Senior Manager Regime applications - April 2022

   FOI Release Date of Release: 05/04/2022
   The FCA answers multiple questions on Senior Managers Regime applications.

2. Credit unions

   Tasks for firms Published: 11/05/2015 Last modified: 03/05/2024
   Find out how to get authorised and about other requirements for credit unions.

3. Information on the number of Senior Managers Regime applications in 2019/20 broken down by title on application - June 2020

   FOI Release Date of Release: 16/06/2020
   FCA provides information on the number of Senior Managers Regime applications in 2019/20 broken down by title.

4. Senior Managers and Certification Regime

   Tasks for regulated firms Published: 06/07/2015 Last modified: 06/02/2023
   The Senior Managers and Certification Regime (SM&CR) changed how people working in financial services are regulated. See how it applies to your firm.

5. Tackling the hard questions

   Speeches Published: 28/04/2016 Last modified: 18/01/2017
   Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Thomson Reuters Annual Compliance & Risk Summit on 26 April 2016, in London. This is the text of the speech as drafted, which may differ from the

6. Senior Managers and Certification Regime: one year on

   News stories Published: 07/03/2017 Last modified: 20/03/2024
   The FCA marks one year since we introduced of the Senior Managers and Certification Regime.

7. Changes in mortgage regulation

   Speeches Published: 11/11/2015 Last modified: 11/11/2015
   Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations, delivered at the Council of Mortgage Lenders conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

8. Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of solo-regulated firms

   Statements Published: 03/04/2020 Last modified: 22/09/2022
   We recognise that firms directly affected by coronavirus (Covid-19) will need to keep their governance arrangements under review and make appropriate changes as circumstances change

9. Statistics provided on the Senior managers' Regime - January 2020

   FOI Release Date of Release: 03/01/2020
   FCA Provides Statistics of Individuals under the scope of Senior Managers and Certification Regime.

10. DP23/3: Review of the Senior Managers and Certification Regime (SM&CR)

    Discussion papers Published: 30/03/2023 Last modified: 09/08/2023
    In this joint Discussion Paper (DP) with the PRA, we are seeking input on potential ways to improve the Senior Managers and Certification Regime (SM&CR).