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Showing 71 to 80 of 205 search results for amendments to the Senior Insurance Managers Regime.
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FCA outlines proposals to extend the Senior Managers and Certification Regime to all financial services firms
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. -
The FCA’s role in preparing for Brexit
Further to the announcement from the Treasury on its approach to amending financial services legislation under the European Union (Withdrawal) Act, this statement provides stakeholders with an update on how we are preparing for the UK leaving the -
Information on enforcement investigations under SMR - June 2022
The FCA answers multiple questions on enforcement investigations under the Senior Managers and Certification Regime. -
Information on enforcement investigations opened against individuals (SMR) - May 2022
The FCA provides data on enforcement investigations opened against individuals (SMR). -
Leading the Way on Regulation
Speech delivered by Karina McTeague, Director of General Insurance and Conduct Specialists Supervision, at the British Insurance Brokers' Association (BIBA) Conference 2019. -
Side pockets
Side pockets could affect anyone who invests in funds that are exposed to Russian assets. Find out more about how side pockets work and what investors can expect. -
Information on number of enforcement investigations opened against individuals under the Senior Managers & Certification Regime - November 2020
FCA provides information on number of enforcement investigations opened against individuals under the Senior Managers & Certification Regime. -
2013 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2013. -
Wholesale markets firm applicants
If you're a wholesale investment firm, you have to be authorised by us. Learn how to prepare your application and what you need to read first. -
FCA publishes final rules to make those in the banking sector more accountable
The final rules cover the Senior Managers Regime; the Certification Regime; and new Conduct Rules. ... In particular:. The Senior Managers Regime focuses on individuals who hold key roles and responsibilities in relevant firms.