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Showing 91 to 100 of 363 search results for function under the Senior Managers Regime.

  1. SM&CR information related to general insurance and protection intermediary firms - June 2022

    FOI Release Date of Release: 10/06/2022
    The FCA provides data on the Senior Managers and Certification Regime (SMCR), in respect of: general insurers and general insurance intermediaries.

  2. The Prudential Regulation Authority and The Financial Conduct Authority announce new rules on remuneration

    Press Releases Published: 23/06/2015 Last modified: 23/06/2015
    Our rules will now mean that senior managers face clawback of bonuses for up to 10 years, if misconduct comes to light. ... The primary changes are:. Extending deferral (the period during which variable remuneration is withheld following the end of the

  3. Speech: Culture in UK banking – regulatory priorities

    Insight Published: 18/10/2016 Last modified: 17/02/2017
    Hence the main aim of our major initiative, the Senior Managers and Certification Regime or ‘SMCR’, is to drive cultural change. ... FCA’s Senior Managers Regime for financial firms.

  4. Where next for investment and asset management regulation?

    Speeches Published: 28/09/2017 Last modified: 02/10/2017
    Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017.

  5. Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation

    Press Releases Published: 31/03/2014 Last modified: 01/04/2014
    implementing the measures set out in the Financial Services Act 2013 including establishing Senior Managers and Certified Persons Regime to increase accountability to senior individuals. ... The FCA has an overarching strategic objective of ensuring the

  6. Apply to become a pre-paid funeral plans firm

    Firms Published: 11/06/2021 Last modified: 04/12/2023
    If you’re a new funeral plan provider or intermediary, find out when you need to apply to the FCA for authorisation and how to apply.

  7. Partly contested cases, the pipeline and AML investigations

    Speeches Published: 04/04/2019 Last modified: 04/04/2019
    FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.

  8. Cryptoasset registration: information for applicants

    Published: 26/10/2023 Last modified: 07/02/2024
    The FCA's requirements and expectations of cryptoasset businesses for AML/CTF regime registration.

  9. PS22/1: FCA authorisation application fees: new structure

    Policy statements Published: 10/01/2022 Last modified: 10/01/2022
    We are setting out the new structure for authorisation application fees that comes into effect from 24 January 2022.

  10. A financial system to support the recovery

    Speeches Published: 16/06/2020 Last modified: 16/06/2020
    Speech by Charles Randell, Chair of the FCA, to a virtual roundtable of bank chairs hosted by UK Finance.
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