Search results
Showing 21 to 30 of 523 search results for Senior Managers Regime applications.
-
The expanding scope of individual accountability for corporate misconduct
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement -
Information on investigations opened under the Senior Managers' Regime - June 2022
The FCA provides information on investigations opened under the Senior Managers' Regime. -
Senior Managers and Certification Regime Banking Stocktake Report
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. -
Enforcement investigations and the Senior Managers Regime information - October 2020
FCA provides information on Enforcement investigations and the Senior Managers Regime. -
Rules that apply to firms in SRO and fund operators in the TMPR
We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR). -
Event costs
Overall approximate costs for public events that we organise and publicise, from April 2013 onwards. -
Examining the future of anti-money laundering regulations
Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015 -
Approved Persons Regime
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. -
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 & Application of the presumption of responsibility to Senior Managers in banking firms. ... Under the revised approach the PRA and FCA will only make the following NEDs subject -
CP17/40: Individual accountability: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime
CP17/40: Individual accountability: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime. ... deposit takers; the Senior Managers and Certification Regime is already in place for these firms.