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Showing 21 to 30 of 719 search results for Senior Managers Regime will.

21. Senior Managers and Certification Regime Banking Stocktake Report

    Multi-firm reviews Published: 05/08/2019 Last modified: 05/08/2019
    The findings of our review into the embedding of the Senior Managers and Certification Regime (SM&CR) in the banking sector. The SM&CR was introduced for deposit-taking firms and dual-regulated investment firms (the banking sector) in March 2016.

22. Information on investigations opened under the Senior Managers' Regime - June 2022

    FOI Release Date of Release: 22/06/2022
    The FCA provides information on investigations opened under the Senior Managers' Regime.

23. Repeal and replacement of assimilated law

    Firms Published: 13/07/2023 Last modified: 01/05/2024
    Documents on the repeal and replacement of provisions in the retained EU law.

24. Senior Managers and Certification Regime: supervisory review

    Feedback statements Published: 28/09/2016 Last modified: 06/03/2017
    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.

25. FCA consults on how to extend the Senior Managers Regime to benchmark administrators

    Press Releases Published: 29/11/2019 Last modified: 11/04/2024
    FCA consults on how to extend the Senior Managers Regime (SMR) to benchmark administrators

26. Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms

    Statements Published: 03/04/2020 Last modified: 22/09/2022
    Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms

27. FCA outlines proposals to extend the Senior Managers and Certification Regime to all financial services firms

    Press Releases Published: 26/07/2017 Last modified: 26/07/2017
    In October 2015, HM Treasury announced its intention to extend the Senior Managers and Certification Regime (SM&CR) to all sectors of the financial services industry.

28. The expanding scope of individual accountability for corporate misconduct

    Speeches Published: 03/04/2017 Last modified: 05/04/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement

29. CP15/37: Consequential amendments to the Senior Insurance Managers Regime (SIMR)

    Consultation papers Published: 11/11/2015 Last modified: 11/11/2015
    CP15/37: Consequential amendments to the Senior Insurance Managers Regime (SIMR). Consultation papers First published:. ... PRA: Consequential amendments to the Senior Managers Regime (SMR) and the Senior Insurance Managers Regime (SIMR).

30. Milestone for insurers as they come under the Senior Managers and Certification Regime

    News stories Published: 10/12/2018 Last modified: 10/12/2018
    The Senior Managers and Certification Regime (SM&CR) has been extended to all insurers regulated by the Financial Conduct Authority (FCA) and Prudential Regulation Authority from today.