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Showing 141 to 150 of 362 search results for extend the Senior Managers Regime.

  1. The Senior Managers and Certification Regime: Guide for insurers [pdf]

    Policy statements Published: 04/07/2018 Last modified: 19/11/2018
  2. 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.
  3. 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'.
  4. SM&CR: Form K user guide for Core Firms with a CF2 who require a non-executive chair (SMF9) [pdf]

    Published: 11/10/2019
    Form K is the conversion notification form. It enables firms to tell us which approved individuals they wish to convert from the Approved Persons Regime (APR) to corresponding Senior Management Functions (SMFs) under the Senior Managers &
  5. Transparency

    How we operate Published: 06/04/2016 Last modified: 20/12/2021
    The FCA sets out to be as open and accountable as possible, so it can be scrutinised by consumers, firms and Parliament. To do this the FCA publishes information about regulated firms and individuals, or it requires firms and individuals to do so.
  6. UK’s exit from the EU delayed

    Statements Published: 30/10/2019 Last modified: 30/10/2019
    The EU and the UK have agreed to extend the date for the UK’s departure from the EU. As a result, firms do not need to take action to implement Brexit contingency plans for 31 October.
  7. Claims management companies

    Claims management companies Last modified: 23/09/2021
    On 1 April 2019 the FCA will become the regulator of claims management companies in England, Wales and Scotland. Find out more.
  8. CP18/26: Claims management companies: how we propose to apply the Senior Managers and Certification Regime [pdf]

    Consultation papers Published: 20/09/2018
    This Consultation Paper (CP) sets out the draft rules and guidance for CMCs relating to the SM&CR. The proposed rules would apply to CMCs serving customers in, or constituted under the laws of, England and Wales or Scotland.
  9. Whistleblowing in practice: Case studies

    Last modified: 07/01/2022
    Are you thinking about blowing the whistle on wrongdoing? Find out how whistleblowing can help the FCA to act. 
  10. Culture and governance

    Tasks for regulated firms Firms Published: 12/05/2015 Last modified: 03/08/2020
    Read about the FCA's work on culture and governance, including details of how to get involved.