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Showing 1 to 10 of 651 search results for including the Senior Managers Regime.

1. Optimising the Senior Managers and Certification Regime: Policy Statement 19/20 and Feedback to CP 19/4

   News stories Published: 26/07/2019 Last modified: 26/07/2019
   Today we publish final rules on the extension of the Senior Managers and Certification Regime (SM&CR) to FCA solo-regulated firms, including claims management companies.

2. Senior Managers and Certification Regime

   Tasks for regulated firms Published: 06/07/2015 Last modified: 06/02/2023
   The Senior Managers and Certification Regime (SM&CR) changed how people working in financial services are regulated. See how it applies to your firm.

3. 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

4. FCA sets out approach to Non-Executive Directors and the Senior Managers Regime

   Press Releases Published: 23/02/2015 Last modified: 23/02/2015
   FCA sets out approach to Non-Executive Directors and the Senior Managers Regime. ... The individuals performing these roles will be subject to all aspects of the Senior Managers Regime, including regulatory pre-approval, the FCA’s and PRA’s new

5. Data on enforcement investigations, including into senior managers - June 2022

   FOI Release Date of Release: 06/06/2022
   The FCA answers mutiple questions regarding enforcement investigations, including into Senior Managers.

6. FCA extends the Senior Managers and Certification Regime to 47,000 firms

   Firms News stories Published: 09/12/2019 Last modified: 09/12/2019
   FCA extends the Senior Managers and Certification Regime to 47,000 firms

7. Senior Managers and Certification Regime: one year on

   News stories Published: 07/03/2017 Last modified: 20/03/2024
   The FCA marks one year since we introduced of the Senior Managers and Certification Regime.

8. 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

9. Information on the Senior Managers Certification Regime fines - April 2022

   FOI Release Date of Release: 22/04/2022
   The FCA provides information on how many fines were issued to Senior managers.

10. Statistics provided on the Senior managers' Regime - January 2020

    FOI Release Date of Release: 03/01/2020
    FCA Provides Statistics of Individuals under the scope of Senior Managers and Certification Regime.