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Showing 41 to 50 of 438 search results for Senior Managers Regime will ensure that senior.

  1. Financial Conduct Authority confirms approach to improving responsibility and accountability in the banking sector

    Press Releases Published: 16/03/2015 Last modified: 16/03/2015
    sets out how the FCA will implement the Senior Managers Regime (SMR); and. ... The new framework comprises two regimes, a ‘Senior Managers Regime’ and a ‘Certification Regime’, which aim to encourage individuals to take greater responsibility for

  2. SM&CR categorisation for solo-regulated firms

    Tasks for regulated firms Published: 31/07/2019 Last modified: 06/02/2023
    Under SM&CR, solo-regulated firms are categorised as limited scope, core or enhanced. Find out which category your firm is in and how you can review this.

  3. FCA introduces final rules on the Directory of financial services workers

    Press Releases Published: 08/03/2019 Last modified: 08/03/2019
    The Financial Conduct Authority (FCA) has today announced the final rules on the Directory - a new public register that enables consumers, firms and other stakeholders to find information on key individuals working in financial services.

  4. Market Watch 66

    Newsletters Published: 11/01/2021 Last modified: 22/01/2021
    In this Market Watch, we set out our expectations for firms on recording telephone conversations and electronic communications when alternative working arrangements are in place, including increased homeworking.

  5. Approved Persons Regime (APR) and coronavirus: our expectations

    Statements Published: 30/06/2020 Last modified: 30/06/2020
    We set out our expectations to help benchmark administrators and firms using Appointed Representative (AR) arrangements apply the Approved Persons Regime (APR) during coronavirus (Covid-19).

  6. Remote or hybrid working: FCA expectations for firms

    Tasks for regulated firms Published: 11/10/2021 Last modified: 13/02/2023
    It's likely many firms will continue new ways of working. The FCA sets out expectations so they can meet regulatory responsibilities.

  7. 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.

  8. Onshoring updates to our Handbook and Technical Standards

    Last modified: 26/05/2022
    We explain how we’ve prepared our Handbook and Technical Standards for the end of the transition period.

  9. What can the consumer credit sector expect from the FCA?

    Speeches Published: 21/03/2019 Last modified: 21/03/2019
    Speech by Jonathan Davidson, Executive Director of Supervision – Retail and Authorisations, at the Credit Summit, London.

  10. Our approach to supervision

    Corporate documents Published: 19/03/2024 Last modified: 19/03/2024
    Our approach to supervision sets out how we carry out our regulatory oversight. It is designed to help firms, consumers and markets understand how we work, and fulfil our accountability to Parliament and to the public.
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