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Showing 11 to 20 of 719 search results for Senior Managers Regime will.

  1. PS16/6: Consequential Changes to the Senior Managers Regime

    Policy statements Published: 02/03/2016 Last modified: 26/05/2016
    PS16/6: Consequential Changes to the Senior Managers Regime. Policy statements First published:. ... In this Policy Statement we report on the main issues arising from Consultation Paper 16/1 Consequential Changes to the Senior Managers Regime and

  2. DP23/3: Review of the Senior Managers and Certification Regime (SM&CR)

    Discussion papers Published: 30/03/2023 Last modified: 09/08/2023
    In this joint Discussion Paper (DP) with the PRA, we are seeking input on potential ways to improve the Senior Managers and Certification Regime (SM&CR).

  3. Tackling the hard questions

    Speeches Published: 28/04/2016 Last modified: 18/01/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Thomson Reuters Annual Compliance & Risk Summit on 26 April 2016, in London. This is the text of the speech as drafted, which may differ from the

  4. 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.

  5. Information on the Senior Managers Certification Regime fines - April 2022

    FOI Release Date of Release: 22/04/2022
    The FCA provides information on how many fines were issued to Senior managers.

  6. FCA sets out approach to Non-Executive Directors and the Senior Managers Regime

    Press Releases Published: 23/02/2015 Last modified: 23/02/2015
    Non-Executive Directors (NEDs) with specific responsibilities, such as Chairman, will come under the new Senior Managers Regime (SMR), the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) confirmed today. ... The individuals

  7. Information on Senior Manager Regime applications - April 2022

    FOI Release Date of Release: 05/04/2022
    The FCA answers multiple questions on Senior Managers Regime applications.

  8. CP16/1: Consequential changes to the Senior Managers Regime

    Consultation papers Published: 06/01/2016 Last modified: 02/03/2016
    CP16/1: Consequential changes to the Senior Managers Regime. Consultation papers First published:. ... CP16/1: Consequential changes to the Senior Managers Regime.

  9. FCA extends the Senior Managers and Certification Regime to 47,000 firms

    Firms News stories Published: 09/12/2019 Last modified: 09/12/2019
    FCA extends the Senior Managers and Certification Regime to 47,000 firms

  10. Extension of the Senior Managers & Certification Regime (SM&CR) implementation periods for solo-regulated firms

    News stories Published: 30/06/2020 Last modified: 02/09/2020
    The deadline for solo-regulated firms to have undertaken the first assessment of the fitness and propriety of their Certified Persons has been delayed from 9 December 2020 until 31 March 2021.
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