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Showing 141 to 150 of 400 search results for extend the Senior Managers Regime.

141. 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.

142. SM&CR: Form K user guide for Enhanced firms [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 &

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

     Policy statements Published: 04/07/2018 Last modified: 19/11/2018

144. 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.

145. Whistleblowing in practice: Case studies

     Firms Published: 21/10/2020 Last modified: 01/02/2024
     Are you thinking about blowing the whistle on wrongdoing? Find out how whistleblowing can help the FCA to act and how the FCA protects other firms.

146. FCA introduces new rules on whistleblowing

     Press Releases Published: 06/10/2015 Last modified: 19/04/2016
     The Accountability Regime in relevant authorised persons. The Senior Managers Regime focuses on individuals who hold key roles and responsibilities in relevant firms. ... Individuals subject to either the Senior Managers Regime or the Certification

147. Guidance on the duty of responsibility: PS17/9

     Policy statements Published: 28/09/2016 Last modified: 03/05/2017
     In this Policy Statement, we set out guidance in the Decision Procedure and Penalties Manual (DEPP) on how we will enforce the ‘duty of responsibility’.

148. 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 &

149. Extending the Senior Managers and Certification Regime: Cost-Benefit Analysis [pdf]

     Research insights Published: 04/07/2018

150. Culture and governance

     Firms Tasks for regulated firms Published: 12/05/2015 Last modified: 09/02/2023
     Read about the FCA's work on culture and governance, including details of how to get involved.