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Showing 1 to 10 of 364 search results for function under the Senior Managers Regime.

1. Clarifying our supervisory intentions: overall responsibility for the legal function under the Senior Managers Regime

   Statements Published: 27/01/2016 Last modified: 26/05/2016
   It has come to our attention that there is uncertainty as to whether an individual in charge of a firm’s legal function requires approval under our Senior Managers regime. This statement:describes our plans to consult on this area; and makes clear

2. Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms

   Statements Published: 03/04/2020 Last modified: 22/09/2022
   Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms

3. Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of solo-regulated firms

   Statements Published: 03/04/2020 Last modified: 22/09/2022
   We recognise that firms directly affected by coronavirus (Covid-19) will need to keep their governance arrangements under review and make appropriate changes as circumstances change

4. Information on investigations opened under the Senior Managers' Regime - June 2022

   FOI Release Date of Release: 22/06/2022
   The FCA provides information on investigations opened under the Senior Managers' Regime.

5. 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.

6. Joint FCA and PRA statement on SM&CR and coronavirus: our expectations of dual-regulated firms - December 2020 update

   Published: 18/12/2020 Last modified: 18/01/2021
   In April 2020, we set out our expectations to help dual-regulated firms apply the SM&CR following the exceptional circumstances that arose from the coronavirus pandemic (Covid-19). We offered some additional flexibility in the application of the

7. CP15/31: Strengthening accountability in banking and insurance: regulatory references

   Consultation papers Published: 06/10/2015 Last modified: 08/12/2015
   Senior management functions under the Senior Managers Regime (SMR). Significant harm functions under the Certification Regime (CR). ... PRA senior insurance management functions under the Senior Insurance Managers Regime (SIMR).

8. 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 &

9. 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 &

10. Overall responsibility and the legal function: DP16/4 [pdf]

    Discussion papers Published: 03/10/2016
    We are launching a discussion to clarify how and why the legal function is currently captured under the Senior Managers and Certification Regime (SM&CR) and to consider whether it should continue to be part of the regime.