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Showing 41 to 50 of 706 search results for our Senior Managers regime.
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Optimising the Senior Managers and Certification Regime: Policy Statement 19/20 and Feedback to CP 19/4
Today we publish final rules on the extension of the Senior Managers and Certification Regime (SM&CR) to FCA solo-regulated firms, including claims management companies. -
Fair and effective markets review
First, the Senior Managers and Certification Regime. The parliamentary commission I referred to earlier recommended the creation of a new regime to ensure greater accountability of senior staff at Banks, Building ... For example, asset managers, -
SM&CR and coronavirus: our expectations for solo-regulated firms - December 2020 update
In April 2020, we set out our expectations to help solo-regulated firms apply the SM&CR following the exceptional circumstances arising from the coronavirus pandemic (Covid-19). We offered some additional flexibility in the application of the SM&CR -
What can the consumer credit sector expect from the FCA?
Speech by Jonathan Davidson, Executive Director of Supervision – Retail and Authorisations, at the Credit Summit, London. -
Information on enforcement investigations opened against individuals (SMR) - May 2022
The FCA provides data on enforcement investigations opened against individuals (SMR). -
Examining the future of anti-money laundering regulations
Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015 -
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. -
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. -
Consumer Duty – information for firms
To help firms implement the Duty, we explain more on the areas of the Duty that we have been receiving firm queries on which are relevant for the wider market. -
SM&CR categorisation for solo-regulated firms
Under SM&CR, solo-regulated firms are categorised as limited scope, core or enhanced. Find out which category your firm is in and how you can review this.