Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 91 to 100 of 403 search results for extend the Senior Managers Regime.

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

    Research insights Published: 26/07/2017

  2. Practical implications of US law on EU practice

    Speeches Published: 19/01/2017 Last modified: 20/01/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe.

  3. [pdf]

    Correspondence Published: 12/06/2014 Last modified: 05/09/2014

  4. PS20/5: Extending the Senior Managers Regime to benchmark administrators: final rules

    Policy statements Published: 02/06/2020 Last modified: 02/06/2020
    The Senior Managers Regime (SMR) will come into force for benchmark administrators on 7 December 2020. This consultation sets out our proposals for applying the SMR to benchmark administrators that do not carry out any other regulated activities

  5. Transcript - Senior Managers and Certification Regime July 2018 video [pdf]

    Transcripts Published: 14/11/2019
    Transcript of 2018 video covering the key components of the SM&CR. Video here https://www.fca.org.uk/firms/senior-managers-certification-regime/insurers

  6. Information on the number of individuals who currently come under the Senior Managers Regime - May 2020

    FOI Release Date of Release: 22/05/2020
    FCA provides information on the number of individuals who currently come under the Senior Managers Regime.

  7. Banking leaders share their insights on adopting the Senior Managers and Certification Regime

    Press Releases Published: 07/02/2019 Last modified: 11/04/2024
    Watch senior leaders from four financial services firms talk about their experiences of adopting the Senior Managers and Certification Regime.

  8. Information on number of enforcement investigations opened against individuals under the Senior Managers & Certification Regime - November 2020

    FOI Release Date of Release: 18/11/2020
    FCA provides information on number of enforcement investigations opened against individuals under the Senior Managers & Certification Regime.

  9. Getting culture and conduct right - the role of the regulator

    Speeches Published: 13/07/2016 Last modified: 18/07/2016
    Speech by Jonathan Davidson, Director of Supervision – retail and authorisations at the FCA, delivered at the 2nd Annual Culture and Conduct Forum for the Financial Services Industry in London.

  10. Conduct risk in FX markets

    Speeches Published: 30/11/2016 Last modified: 30/11/2016
    Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe.
Related topics