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Showing 1 to 10 of 537 search results for Senior Managers Regime for banks.

1. 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.

2. 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.

3. 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.

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 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.

6. 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

7. Letter from the Chairman to the Chancellor on Senior Managers and Certificate Scheme: extension to foreign banks

   Statements Published: 12/06/2014 Last modified: 13/06/2014
   1 Horse Guards Road. London. SW1A 2HQ. Thank you for your letter regarding the Senior Managers & Certificate Regime: extension to UK branches of foreign banks. ... expect, I welcome your intention to apply the Senior Managers & Certification Regime (“SM

8. 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.

9. 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.

10. 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.