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Showing 131 to 140 of 398 search results for extend the Senior Managers Regime.

  1. Recognised industry codes

    About us How we regulate Published: 20/07/2018 Last modified: 19/11/2021
    Read about our process for recognising industry codes of conduct, which we describe as 'FCA-recognised industry codes'.
  2. FCA sets out its priorities for 2019/20

    Press Releases Published: 17/04/2019 Last modified: 13/03/2024
    The FCA published our Business Plan for 2019/20, outlining key priorities for the year.
  3. Claims management companies

    Claims management companies Last modified: 13/03/2023
    On 1 April 2019 the FCA will become the regulator of claims management companies in England, Wales and Scotland. Find out more.
  4. Accountability, from debate to reality

    Speeches Published: 14/07/2015 Last modified: 19/04/2016
    Speech by Martin Wheatley, CEO of the Financial Conduct Authority, delivered at the City & Financial conference, London. This is the text of the speech as drafted, which may differ from the delivered version.
  5. PS19/20: Optimising the Senior Managers & Certification Regime and feedback to CP19/4 [pdf]

    Policy statements Published: 26/07/2019
  6. PS19/9: Applying the Senior Managers and Certification Regime to Claims Management Companies [pdf]

    Policy statements Published: 29/03/2019
  7. PS16/3: Strengthening accountability in banking: Feedback on CP15/22 and CP15/31; rules on extending the certification regime to wholesale market activities and interim rules on referencing [pdf]

    Policy statements Published: 04/02/2016 Last modified: 04/02/2016
    In this policy statement we set out final rules for the new accountability framework for individuals working in banks, building societies and credit unions who perform certain wholesale market activities.
  8. CP19/4: Optimising the Senior Managers & Certification Regime and feedback to DP16/4 – Overall responsibility and the legal function [pdf]

    Consultation papers Published: 23/01/2019
  9. GC18/4: Senior Managers and Certification Regime: Proposed guidance on statements of responsibilities and responsibilities maps for FCA firms [pdf]

    Guidance consultations Published: 11/10/2018
  10. PS18/14: Extending the Senior Managers & Certification Regime to FCA firms - Feedback to CP17/25 and CP17/40, and near-final rules [pdf]

    Policy statements Published: 04/07/2018