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Showing 61 to 70 of 706 search results for our Senior Managers regime.

  1. PS16/22: Strengthening accountability in banking and insurance: regulatory references final rules [pdf]

    Policy statements Published: 28/09/2016
    We are publishing our final rules on regulatory references.

  2. Approved Persons Regime

    Tasks for firms Published: 12/05/2015 Last modified: 27/04/2023
    Approved persons carry out certain activities on a firm's behalf and must be regulated by us. Learn about our requirements, conduct rules and 'fit and proper' test.

  3. New accountability regime for banks and insurers comes into force

    Press Releases Published: 07/03/2016 Last modified: 19/04/2016
    The Senior Managers Regime for the banking sector and the Senior Insurance Managers Regime both come into force today. ... Regulators also need to have high standards of conduct so we are applying the core principles of the Senior Managers Regimes to our

  4. Personal accountability

    Speeches Published: 02/12/2015 Last modified: 19/04/2016
    Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the City & Financial conference on Personal Accountability in the Financial Services Industry, 2 December 2015, London. This is the text of the speech as drafted, which may differ

  5. Recognised industry codes

    About us How we regulate Published: 20/07/2018 Last modified: 19/11/2021
    Read about our process for recognising industry codes of conduct, which we describe as 'FCA-recognised industry codes'.

  6. CP 19/31: Extending the Senior Managers Regime to Benchmark Administrators [pdf]

    Consultation papers Published: 29/11/2019
    This consultation sets out our proposals for applying the SMR to benchmark administrators that do not carry out any other regulated activities.

  7. Nothing to fear from high standards

    Speeches Published: 16/03/2015 Last modified: 03/11/2016
    Speech by Martin Wheatley, Chief Executive of the FCA, delivered at Bloomberg. This is the text of the speech as drafted, which may differ from the delivered version.

  8. FS16/9: Senior Managers and Certification Regime: Feedback for Credit Unions [pdf]

    Feedback statements Published: 28/09/2016
    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.

  9. PS18/16: The Duty of Responsibility for insurers and FCA solo-regulated firms

    Policy statements Published: 13/12/2017 Last modified: 04/07/2018
    Firms should read the Policy Statement alongside the rules for how we will extend the Senior Managers and Certification Regime. ... We have also published Guides to the Senior Managers and Certification Regime for firms.

  10. Claims management companies

    Claims management companies Last modified: 13/03/2023
    On 1 April 2019 the FCA will become the regulator of claims management companies in England, Wales and Scotland. Find out more.