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Showing 31 to 40 of 719 search results for Senior Managers Regime will.

  1. Getting culture and conduct right - the role of the regulator

    Speeches Published: 13/07/2016 Last modified: 18/07/2016
    Speech by Jonathan Davidson, Director of Supervision – retail and authorisations at the FCA, delivered at the 2nd Annual Culture and Conduct Forum for the Financial Services Industry in London.
  2. Enforcement investigations and the Senior Managers Regime information - October 2020

    FOI Release Date of Release: 05/10/2020
    FCA provides information on Enforcement investigations and the Senior Managers Regime.
  3. 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
  4. Practical implications of US law on EU practice

    Speeches Published: 19/01/2017 Last modified: 20/01/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe.
  5. PS19/9: Applying the Senior Managers and Certification Regime to Claims Management Companies

    Policy statements Published: 20/09/2018 Last modified: 29/03/2019
    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
  6. Banking leaders share their insights on adopting the Senior Managers and Certification Regime

    Press Releases Published: 07/02/2019 Last modified: 11/04/2024
    Watch senior leaders from four financial services firms talk about their experiences of adopting the Senior Managers and Certification Regime.
  7. PS18/15: Extending the Senior Managers & Certification Regime to insurers – Feedback to CP17/26 and CP17/41 and near-final rules

    Policy statements Published: 26/07/2017 Last modified: 04/07/2018
    We have published near-final rules on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms.
  8. 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
  9. PS19/20: Optimising the Senior Managers & Certification Regime and feedback to CP19/4

    Policy statements Published: 26/07/2019 Last modified: 26/07/2019
    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.
  10. PS18/14: Extending the Senior Managers and Certification Regime to FCA firms – Feedback to CP17/25 and CP17/40, and near-final rules

    Policy statements Published: 26/07/2017 Last modified: 04/07/2018
    We have published near-final rules on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms.