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Showing 101 to 110 of 415 search results for introduction of the senior managers regime.

  1. PS18/15: Extending the Senior Managers & Certification Regime to insurers – Feedback to CP17/26 and CP17/41 and near-final rules

    Policy statements Published: 26/07/2017 Last modified: 04/07/2018
    We have published near-final rules on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms.

  2. 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.

  3. 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.

  4. PS19/20: Optimising the Senior Managers & Certification Regime and feedback to CP19/4

    Policy statements Published: 26/07/2019 Last modified: 26/07/2019
    The Senior Managers & Certification Regime (SM&CR) was introduced for banking firms in 2016 and insurers in December 2018. It will apply to solo-regulated firms from December 2019.

  5. [pdf]

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

  6. 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

  7. 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.

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

    Research insights Published: 26/07/2017

  9. Information on the number of Senior Managers Regime applications in 2019/20 broken down by title on application - June 2020

    FOI Release Date of Release: 16/06/2020
    FCA provides information on the number of Senior Managers Regime applications in 2019/20 broken down by title.

  10. 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.