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Showing 1 to 10 of 524 search results for Senior Managers Regime applications.

1. 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.

2. Information on the number of Senior Managers Regime applications in 2019/20 broken down by title on application - June 2020

   FOI Release Date of Release: 16/06/2020
   FCA provides information on the number of Senior Managers Regime applications in 2019/20 broken down by title.

3. Senior Managers and Certification Regime

   Tasks for regulated firms Published: 06/07/2015 Last modified: 06/02/2023
   The Senior Managers and Certification Regime (SM&CR) changed how people working in financial services are regulated. See how it applies to your firm.

4. Credit unions

   Tasks for firms Published: 11/05/2015 Last modified: 03/11/2023
   Find out how to get authorised and about other requirements for credit unions.

5. Senior Managers and Certification Regime: one year on

   News stories Published: 07/03/2017 Last modified: 20/03/2024
   The FCA marks one year since we introduced of the Senior Managers and Certification Regime.

6. Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of solo-regulated firms

   Statements Published: 03/04/2020 Last modified: 22/09/2022
   We recognise that firms directly affected by coronavirus (Covid-19) will need to keep their governance arrangements under review and make appropriate changes as circumstances change

7. Statistics provided on the Senior managers' Regime - January 2020

   FOI Release Date of Release: 03/01/2020
   FCA Provides Statistics of Individuals under the scope of Senior Managers and Certification Regime.

8. 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).

9. 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

10. 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