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Showing 1 to 10 of 414 search results for introduction of the senior managers regime.

1. Tackling the hard questions

   Speeches Published: 28/04/2016 Last modified: 18/01/2017
   Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Thomson Reuters Annual Compliance & Risk Summit on 26 April 2016, in London. This is the text of the speech as drafted, which may differ from the

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. 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.

4. Getting culture and conduct right - the role of the regulator

   Speeches Published: 13/07/2016 Last modified: 18/07/2016
   Speech by Jonathan Davidson, Director of Supervision – retail and authorisations at the FCA, delivered at the 2nd Annual Culture and Conduct Forum for the Financial Services Industry in London.

5. 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.

6. 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

7. DP23/3: Review of the Senior Managers and Certification Regime (SM&CR)

   Discussion papers Published: 30/03/2023 Last modified: 09/08/2023
   In this joint Discussion Paper (DP) with the PRA, we are seeking input on potential ways to improve the Senior Managers and Certification Regime (SM&CR).

8. PS16/6: Consequential Changes to the Senior Managers Regime

   Policy statements Published: 02/03/2016 Last modified: 26/05/2016
   PS16/6: Consequential Changes to the Senior Managers Regime. Policy statements First published:. ... In this Policy Statement we report on the main issues arising from Consultation Paper 16/1 Consequential Changes to the Senior Managers Regime and

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. Information on Senior Manager Regime applications - April 2022

    FOI Release Date of Release: 05/04/2022
    The FCA answers multiple questions on Senior Managers Regime applications.