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Showing 51 to 60 of 706 search results for our Senior Managers regime.
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How we are applying the principles of the SMR to the FCA [pdf]
We are applying the principles of the Senior Managers Regime to our own senior managers including members of our Board, Executive Committee and those carrying out Senior Management Functions. -
PS20/5: Extending the Senior Managers Regime to benchmark administrators: final rules [pdf]
In CP19/31, we set out proposals for extending the Senior Managers Regime (SMR) to benchmark administrators. This Policy Statement summarises feedback received and our response -
Transparency
The FCA sets out to be as open and accountable as possible, so it can be scrutinised by consumers, firms and Parliament. To do this the FCA publishes information about regulated firms and individuals, or it requires firms and individuals to do so. -
FS16/6: Senior Managers and Certification Regime: Feedback for all UK banks, investment firms and building societies [pdf]
We are reporting the findings of our in-depth supervisory review of the Statements of Responsibilities (SoRs) and responsibilities maps supplied with grandfathering notifications for firms. -
FS16/7: Senior Managers and Certification Regime: Feedback for branches of banks from outside the European Economic Area [pdf]
We are reporting the findings of our in-depth supervisory review of the Statements of Responsibilities (SoRs) and responsibilities maps supplied with grandfathering notifications for firms. -
FS16/8: Senior Managers and Certification Regime: Feedback for branches of banks from within the European Economic Area [pdf]
We are reporting the findings of our in-depth supervisory review of the Statements of Responsibilities (SoRs) and responsibilities maps supplied with grandfathering notifications for firms. -
Joint FCA and PRA statement on SM&CR and coronavirus: our expectations of dual-regulated firms - December 2020 update
In April 2020, we set out our expectations to help dual-regulated firms apply the SM&CR following the exceptional circumstances that arose from the coronavirus pandemic (Covid-19). We offered some additional flexibility in the application of the -
Event costs
Overall approximate costs for public events that we organise and publicise, from April 2013 onwards. -
Accountability, from debate to reality
Speech by Martin Wheatley, CEO of the Financial Conduct Authority, delivered at the City & Financial conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Firms
Tasks for regulated firms and authorisation information for new firms