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Showing 31 to 40 of 539 search results for Senior Managers Regime for banks.
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Clarifying our supervisory intentions: overall responsibility for the legal function under the Senior Managers Regime
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 -
Information on enforcement investigations opened against individuals (SMR) - May 2022
The FCA provides data on enforcement investigations opened against individuals (SMR). -
PS18/14: Extending the Senior Managers and Certification Regime to FCA firms – Feedback to CP17/25 and CP17/40, and near-final rules
We have published near-final rules on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms. -
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 -
PS19/9: Applying the Senior Managers and Certification Regime to Claims Management Companies
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 -
PS19/20: Optimising the Senior Managers & Certification Regime and feedback to CP19/4
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. -
What can the consumer credit sector expect from the FCA?
Speech by Jonathan Davidson, Executive Director of Supervision – Retail and Authorisations, at the Credit Summit, London. -
FS16/6: Senior Managers and Certification Regime: Feedback for all UK banks, investment firms and building societies [pdf]
We are reporting the findings of our in-depth supervisory review of the Statements of Responsibilities (SoRs) and responsibilities maps supplied with grandfathering notifications for firms. -
FS16/7: Senior Managers and Certification Regime: Feedback for branches of banks from outside the European Economic Area [pdf]
We are reporting the findings of our in-depth supervisory review of the Statements of Responsibilities (SoRs) and responsibilities maps supplied with grandfathering notifications for firms. -
FS16/8: Senior Managers and Certification Regime: Feedback for branches of banks from within the European Economic Area [pdf]
We are reporting the findings of our in-depth supervisory review of the Statements of Responsibilities (SoRs) and responsibilities maps supplied with grandfathering notifications for firms.