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Showing 121 to 130 of 363 search results for extend the Senior Managers Regime.

  1. PS16/6: Consequential Changes to the Senior Managers Regime [pdf]

    Policy statements Published: 02/03/2016 Last modified: 02/03/2016
    In this Policy Statement we report on the main issues arising from Consultation Paper 16/1 Consequential Changes to the Senior Managers Regime and publish the final rules.
  2. Reviewing your resources

    Tasks for regulated firms Published: 03/08/2015 Last modified: 07/06/2016
    If you are a regulated firm, or wish to become regulated, you should review the level of resources required to operate your business effectively.
  3. FS16/6: Senior Managers and Certification Regime: Feedback for all UK banks, investment firms and building societies [pdf]

    Feedback statements Published: 28/09/2016
    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.
  4. FS16/7: Senior Managers and Certification Regime: Feedback for branches of banks from outside the European Economic Area [pdf]

    Feedback statements Published: 28/09/2016 Last modified: 28/09/2016
    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.
  5. FS16/8: Senior Managers and Certification Regime: Feedback for branches of banks from within the European Economic Area [pdf]

    Feedback statements Published: 28/09/2016
    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.
  6. How we are applying the principles of the SMR to the FCA [pdf]

    Corporate documents Published: 01/04/2016 Last modified: 28/07/2021
    We are applying the principles of the Senior Managers Regime to our own senior managers including members of our Board, Executive Committee and those carrying out Senior Management Functions.
  7. CP16/1: Consequential changes to the Senior Managers Regime [pdf]

    Consultation papers Published: 06/01/2016 Last modified: 23/02/2016
    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
  8. Financial Services Register

    Registers and systems Published: 28/04/2016 Last modified: 09/11/2021
    The Financial Services Register is a public record of firms, individuals and other bodies that are PRA and/or FCA authorised. Search the register to find out if a firm is registered.
  9. Investment Managers

    Investment managers Last modified: 23/09/2021
    Investment managers need to be authorised and utilise the available support to best help consumers. Find useful links, publications and expectations for investment management firms.
  10. Wealth managers

    Wealth managers Last modified: 23/09/2021
    Wealth managers