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Showing 11 to 20 of 476 search results for cover the Senior Managers Regime.
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Senior Managers and Certification Regime Banking Stocktake Report
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. -
Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms
Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms -
Changes in mortgage regulation
Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations, delivered at the Council of Mortgage Lenders conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
CP16/1: Consequential changes to the Senior Managers Regime
CP16/1: Consequential changes to the Senior Managers Regime. Consultation papers First published:. ... CP16/1: Consequential changes to the Senior Managers Regime. -
FCA extends the Senior Managers and Certification Regime to 47,000 firms
FCA extends the Senior Managers and Certification Regime to 47,000 firms -
Information on investigations opened under the Senior Managers' Regime - June 2022
The FCA provides information on investigations opened under the Senior Managers' Regime. -
FCA sets out approach to Non-Executive Directors and the Senior Managers Regime
FCA sets out approach to Non-Executive Directors and the Senior Managers Regime. ... Non-Executive Directors (NEDs) with specific responsibilities, such as Chairman, will come under the new Senior Managers Regime (SMR), the Financial Conduct Authority -
CP15/37: Consequential amendments to the Senior Insurance Managers Regime (SIMR)
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). -
Enforcement investigations and the Senior Managers Regime information - October 2020
FCA provides information on Enforcement investigations and the Senior Managers Regime. -
The expanding scope of individual accountability for corporate misconduct
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