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Showing 111 to 120 of 415 search results for introduction of the senior managers regime.
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Benchmarks supervision
Benchmark administrators and supervised contributors are overseen by the Benchmarks Supervision team. Learn more about notifications and providing information. -
Updating and improving the UK regime for asset management: our priorities
Speech by Ashley Alder, Chair, delivered at the Investment Association’s Annual Dinner. -
Information on enforcement investigations opened against individuals (SMR) - May 2022
The FCA provides data on enforcement investigations opened against individuals (SMR). -
Conduct risk in FX markets
Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe. -
Fair and effective markets review
The recommendations seek to embed accountability with front-line staff for their actions and to make senior managers properly responsible for their role in controlling their businesses and managing their staff. ... First, the Senior Managers and -
REP008: Conduct Rules reporting for solo-regulated firms
Under the Senior Managers and Certification Regime (SM&CR), solo-regulated firms need to tell us whether disciplinary action has been taken against individuals, who aren't Senior Managers, for Conduct Rules breaches. -
Rules that apply to firms in SRO and fund operators in the TMPR
We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR). -
Chief Executive speaks at APM about recent work and future challenges
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting. -
PS16/5: Strengthening accountability in banking and insurance: Implementation of SM&CR and SIMR, and PRA requirements on regulatory references [pdf]
This policy statement contains, among other things, the PRA and FCA final rules to implement the proposals for applying the Senior Insurance Managers Regime (SIMR) to Swiss general insurers. -
CP17 /41: Individual accountability: Transitioning insurers and individuals to the Senior Managers & Certification Regime [pdf]
We are consulting on how FSMA authorised firms and individuals will move to the Senior Managers and Certification Regime.