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Showing 31 to 40 of 476 search results for cover the Senior Managers Regime.
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Rules that apply to firms in SRO and fund operators in the TMPR
We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR). -
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. -
SM&CR categorisation for solo-regulated firms
Under SM&CR, solo-regulated firms are categorised as limited scope, core or enhanced. Find out which category your firm is in and how you can review this. -
Chief Executive speaks at APM about recent work and future challenges
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting. -
Directory of certified and assessed persons
Find out how you can prepare and amend your certified and assessed person submission, and why it's important to confirm your details. -
2016 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 2016. -
PS18/16: The Duty of Responsibility for insurers and FCA solo-regulated firms
Firms should read the Policy Statement alongside the rules for how we will extend the Senior Managers and Certification Regime. ... We have also published Guides to the Senior Managers and Certification Regime for firms. -
New accountability regime for banks and insurers comes into force
The Senior Managers Regime for the banking sector and the Senior Insurance Managers Regime both come into force today. ... As a subsidiary of the FCA, the Payment Systems Regulator (PSR), has also applied the Senior Managers Regime internally. -
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. -
Coronavirus: Information for small businesses that are customers of financial services firms
Information on the Government support available during the coronavirus (Covid-19) pandemic and as businesses look to recover and grow.