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Showing 31 to 40 of 523 search results for Senior Managers Regime applications.

31. Clarifying our supervisory intentions: overall responsibility for the legal function under the Senior Managers Regime

    Statements Published: 27/01/2016 Last modified: 26/05/2016
    It has come to our attention that there is uncertainty as to whether an individual in charge of a firm’s legal function requires approval under our Senior Managers regime. This statement:describes our plans to consult on this area; and makes clear

32. PS19/9: Applying the Senior Managers and Certification Regime to Claims Management Companies

    Policy statements Published: 20/09/2018 Last modified: 29/03/2019
    This Policy Statement outlines how we will apply our Senior Managers and Certification Regime (SM&CR) to claims management companies (CMCs) and their staff. The regime aims to strengthen individual accountability in the firms we regulate and raise

33. 2018 Disclosure Log

    Last modified: 14/09/2020
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2018. 

34. PS19/20: Optimising the Senior Managers & Certification Regime and feedback to CP19/4

    Policy statements Published: 26/07/2019 Last modified: 26/07/2019
    The Senior Managers & Certification Regime (SM&CR) was introduced for banking firms in 2016 and insurers in December 2018. It will apply to solo-regulated firms from December 2019.

35. Financial Services Register

    Registers and systems Published: 28/04/2016 Last modified: 04/11/2022
    The Financial Services Register is a public record of firms, individuals and other bodies that are PRA and/or FCA authorised. Search the register to find out if a firm is registered.

36. PS18/14: Extending the Senior Managers and Certification Regime to FCA firms – Feedback to CP17/25 and CP17/40, and near-final rules

    Policy statements Published: 26/07/2017 Last modified: 04/07/2018
    We have published near-final rules on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms.

37. 2016 Disclosure Log

    Last modified: 30/01/2020
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2016. 

38. New accountability regime for banks and insurers comes into force

    Press Releases Published: 07/03/2016 Last modified: 19/04/2016
    The Senior Managers Regime for the banking sector and the Senior Insurance Managers Regime both come into force today. ... The internal application of the Senior Managers Regime reflects the PRA and FCA’s functions as public authorities and

39. Wholesale markets firm applicants

    Firm authorisation Published: 04/07/2023 Last modified: 24/04/2024
    If you're a wholesale investment firm, you have to be authorised by us. Learn how to prepare your application and what you need to read first.

40. 2014 Disclosure Log

    Last modified: 30/01/2020
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2014.