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Showing 31 to 40 of 438 search results for Senior Managers Regime will ensure that senior.

  1. PS20/5: Extending the Senior Managers Regime to benchmark administrators: final rules

    Policy statements Published: 02/06/2020 Last modified: 02/06/2020
    The Senior Managers Regime (SMR) will come into force for benchmark administrators on 7 December 2020. This consultation sets out our proposals for applying the SMR to benchmark administrators that do not carry out any other regulated activities

  2. Strengthening accountability in banking and insurance: regulatory references final rules: PS16/22

    Policy statements Published: 28/09/2016 Last modified: 24/02/2017
    We are publishing our final rules on regulatory references. 

  3. 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

  4. FCA seeks views on extending the implementation deadlines for the Certification Regime and Conduct Rules

    Press Releases Published: 17/07/2020 Last modified: 11/04/2024
    The FCA has published a consultation paper on making changes to its rules following the extension to the deadline by which FCA solo-regulated firms need to have implemented the Certification Regime.

  5. Directory of certified and assessed persons

    Tasks for regulated firms Published: 04/09/2019 Last modified: 10/02/2023
    Find out how you can prepare and amend your certified and assessed person submission, and why it's important to confirm your details.

  6. SM&CR and coronavirus: our expectations for solo-regulated firms - December 2020 update

    Statements Published: 18/12/2020 Last modified: 18/12/2020
    In April 2020, we set out our expectations to help solo-regulated firms apply the SM&CR following the exceptional circumstances arising from the coronavirus pandemic (Covid-19). We offered some additional flexibility in the application of the SM&CR

  7. Our investigations – the evolving approach

    Speeches Published: 15/06/2017 Last modified: 15/06/2017
    Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum.

  8. PRA and FCA conclude investigations into senior managers in relation to the 2008 failure of HBOS plc

    Press Releases Published: 26/08/2022 Last modified: 26/08/2022
    PRA and FCA joint investigations into certain former senior managers at HBOS plc have now concluded with a decision by each of the Authorities’ independent decision-makers to take no further action.

  9. Conduct risk in FX markets

    Speeches Published: 30/11/2016 Last modified: 30/11/2016
    Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe.

  10. FCA launches enhanced Financial Services Register to protect consumers

    Press Releases Published: 27/07/2020 Last modified: 27/07/2020
    The FCA has today launched its updated Financial Services (FS) Register – including a simpler design and clearer language.
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