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Showing 1 to 10 of 476 search results for cover the Senior Managers Regime.

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. 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

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. 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.

5. 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).

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. 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.

8. 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.

9. Senior Managers and Certification Regime Banking Stocktake Report

   Multi-firm reviews Published: 05/08/2019 Last modified: 05/08/2019
   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.

10. Senior Managers and Certification Regime: Finalising FCA rules

    Statements Published: 10/07/2019 Last modified: 10/07/2019
    We have been working closely with HM Treasury on preparation of the Commencement Order needed to enable the FCA to publish final rules on the extension of the Senior Managers and Certification Regime (SM&CR).