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Showing 41 to 50 of 415 search results for introduction of the senior managers regime.
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PS18/16: The Duty of Responsibility for insurers and FCA solo-regulated firms
Firms should read the Policy Statement alongside the rules for how we will extend the Senior Managers and Certification Regime. ... We have also published Guides to the Senior Managers and Certification Regime for firms. -
Culture and conduct - extending the accountability regime
Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at City and Financial Summit, London. -
New accountability regime for banks and insurers comes into force
The Senior Managers Regime for the banking sector and the Senior Insurance Managers Regime both come into force today. ... As a subsidiary of the FCA, the Payment Systems Regulator (PSR), has also applied the Senior Managers Regime internally. -
Our investigations – the evolving approach
Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum. -
Our Annual Report and Accounts 2016/17
Our Annual Report and Accounts shows how our work over the last year has met our objectives and delivered against the key priorities we set out in our Business Plan 2016/17. -
Principals and appointed representatives
If you’re a principal firm for an appointed representative (AR), find out what your responsibilities are and when to notify the FCA. -
About our data
The FCA publishes a wide range of data. Find out about the types of data available and how often it is published. -
Leading the Way on Regulation
Speech delivered by Karina McTeague, Director of General Insurance and Conduct Specialists Supervision, at the British Insurance Brokers' Association (BIBA) Conference 2019. -
CP15/9: Strengthening accountability in banking: a new regulatory framework for individuals
To give firms as much time as possible to prepare for the changes, this paper provides a set of near-final rules on our new Senior Managers’ Regime, together with a ... apply it, and the steps that a Senior Manager should take in order to rebut the -
Information on enforcement investigations under SMR - June 2022
The FCA answers multiple questions on enforcement investigations under the Senior Managers and Certification Regime.