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Showing 101 to 110 of 363 search results for extend the Senior Managers Regime.

  1. Getting culture and conduct right - the role of the regulator

    Speeches Published: 13/07/2016 Last modified: 18/07/2016
    Speech by Jonathan Davidson, Director of Supervision – retail and authorisations at the FCA, delivered at the 2nd Annual Culture and Conduct Forum for the Financial Services Industry in London.
  2. Banking leaders share their insights on adopting the Senior Managers and Certification Regime

    Press Releases Published: 07/02/2019 Last modified: 07/02/2019
    In a new video, senior leaders from four financial services firms, together employing over half a million staff, talk about their experiences of adopting the Senior Managers and Certification Regime (SM&CR).
  3. Regulation round-up October 2017

    Newsletters Published: 19/10/2017 Last modified: 19/02/2018
    Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.
  4. Regulation round-up November 2018

    Newsletters Published: 15/11/2018 Last modified: 15/11/2018
    Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.
  5. PS19/9: Applying the Senior Managers and Certification Regime to Claims Management Companies

    Policy statements Published: 20/09/2018 Last modified: 29/03/2019
    This Policy Statement outlines how we will apply our Senior Managers and Certification Regime (SM&CR) to claims management companies (CMCs) and their staff. The regime aims to strengthen individual accountability in the firms we regulate and raise
  6. Clarifying our supervisory intentions: overall responsibility for the legal function under the Senior Managers Regime

    Statements Published: 27/01/2016 Last modified: 26/05/2016
    It has come to our attention that there is uncertainty as to whether an individual in charge of a firm’s legal function requires approval under our Senior Managers regime. This statement:describes our plans to consult on this area; and makes clear
  7. 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.
  8. Optimising the Senior Managers and Certification Regime: Policy Statement 19/20 and Feedback to CP 19/4

    News stories Published: 26/07/2019 Last modified: 26/07/2019
    Today we publish final rules on the extension of the Senior Managers and Certification Regime (SM&CR) to FCA solo-regulated firms, including claims management companies.
  9. Fair and effective markets review

    Speeches Published: 14/07/2015 Last modified: 23/10/2015
    The recommendations seek to embed accountability with front-line staff for their actions and to make senior managers properly responsible for their role in controlling their businesses and managing their staff. ... First, the Senior Managers and
  10. REP008: Conduct Rules reporting for solo-regulated firms

    Tasks for regulated firms Published: 13/08/2020 Last modified: 27/09/2021
    Find out about the REP008 annual reporting requirement for solo-regulated firms.