Search results
Showing 111 to 120 of 400 search results for extend the Senior Managers Regime.
-
Overall responsibility and the legal function: DP16/4 [pdf]
We are launching a discussion to clarify how and why the legal function is currently captured under the Senior Managers and Certification Regime (SM&CR) and to consider whether it should continue to be part of the regime. -
CP15/37: Consequential amendments to the Senior Insurance Managers Regime (SIMR) [pdf]
-
Reviewing your resources
If you are a regulated firm, or wish to become regulated, you should review the level of resources required to operate your business effectively. -
PS20/5: Extending the Senior Managers Regime to benchmark administrators: final rules [pdf]
In CP19/31, we set out proposals for extending the Senior Managers Regime (SMR) to benchmark administrators. This Policy Statement summarises feedback received and our response -
CP16/1: Consequential changes to the Senior Managers Regime [pdf]
This Consultation Paper (CP) sets out how we intend to implement the consequential changes to rules and forms that will be required prior to commencement of the regime. It also examines the impact that we believe they will have upon the industry and -
CP17/40: Individual accountability: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime [pdf]
We are consulting on how FSMA authorised firms and individuals will move to the Senior Managers and Certification Regime. -
CP17/25: Individual accountability - extending the Senior Managers and Certification Regime to all FCA firms [pdf]
We are consulting on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms. -
CP17/26: Individual accountability - extending the Senior Managers and Certification Regime to insurers [pdf]
We are consulting on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms. -
FS16/7: Senior Managers and Certification Regime: Feedback for branches of banks from outside the European Economic Area [pdf]
We are reporting the findings of our in-depth supervisory review of the Statements of Responsibilities (SoRs) and responsibilities maps supplied with grandfathering notifications for firms. -
FS16/8: Senior Managers and Certification Regime: Feedback for branches of banks from within the European Economic Area [pdf]
We are reporting the findings of our in-depth supervisory review of the Statements of Responsibilities (SoRs) and responsibilities maps supplied with grandfathering notifications for firms.