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Showing 11 to 20 of 706 search results for our Senior Managers regime.

  1. 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.

  2. 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.

  3. 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).

  4. 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

  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. CP16/1: Consequential changes to the Senior Managers Regime

    Consultation papers Published: 06/01/2016 Last modified: 02/03/2016
    CP16/1: Consequential changes to the Senior Managers Regime. Consultation papers First published:. ... CP16/1: Consequential changes to the Senior Managers Regime.

  7. Extension of the Senior Managers & Certification Regime (SM&CR) implementation periods for solo-regulated firms

    News stories Published: 30/06/2020 Last modified: 02/09/2020
    The deadline for solo-regulated firms to have undertaken the first assessment of the fitness and propriety of their Certified Persons has been delayed from 9 December 2020 until 31 March 2021.

  8. Information on investigations opened under the Senior Managers' Regime - June 2022

    FOI Release Date of Release: 22/06/2022
    The FCA provides information on investigations opened under the Senior Managers' Regime.

  9. 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

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

    Press Releases Published: 23/02/2015 Last modified: 23/02/2015
    FCA sets out approach to Non-Executive Directors and the Senior Managers Regime. ... Non-Executive Directors (NEDs) with specific responsibilities, such as Chairman, will come under the new Senior Managers Regime (SMR), the Financial Conduct Authority