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Showing 1 to 10 of 702 search results for new Senior Managers Regime.

1. 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.

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

   Press Releases Published: 23/02/2015 Last modified: 23/02/2015
   Non-Executive Directors (NEDs) with specific responsibilities, such as Chairman, will come under the new Senior Managers Regime (SMR), the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) confirmed today. ... The individuals

3. 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.

4. Senior Managers and Certification Regime: Finalising FCA rules

   Statements Published: 10/07/2019 Last modified: 10/07/2019
   We have been working closely with HM Treasury on preparation of the Commencement Order needed to enable the FCA to publish final rules on the extension of the Senior Managers and Certification Regime (SM&CR).

5. 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

6. Milestone for insurers as they come under the Senior Managers and Certification Regime

   News stories Published: 10/12/2018 Last modified: 10/12/2018
   The Senior Managers and Certification Regime (SM&CR) has been extended to all insurers regulated by the Financial Conduct Authority (FCA) and Prudential Regulation Authority from today.

7. 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

8. FCA consults on how firms and individuals will transition to the Senior Managers and Certification Regime

   Press Releases Published: 13/12/2017 Last modified: 13/12/2017
   The Financial Conduct Authority (FCA) has today published a package of proposals on how firms and individuals will move to the Senior Managers and Certification Regime. The aim of the new regime is to make individuals more accountable for their

9. 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

10. Benchmarks supervision

    Markets Published: 22/04/2016 Last modified: 14/12/2022
    Benchmark administrators and supervised contributors are overseen by the Benchmarks Supervision team. Learn more about notifications and providing information.