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Showing 1 to 10 of 705 search results for our Senior Managers regime.

1. Clarifying our supervisory intentions: overall responsibility for the legal function under the Senior Managers Regime

   Statements Published: 27/01/2016 Last modified: 26/05/2016
   It has come to our attention that there is uncertainty as to whether an individual in charge of a firm’s legal function requires approval under our Senior Managers regime. This statement:describes our plans to consult on this area; and makes clear

2. 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

3. Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms

   Statements Published: 03/04/2020 Last modified: 22/09/2022
   Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms

4. 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.

5. Senior Managers and Certification Regime Banking Stocktake Report

   Multi-firm reviews Published: 05/08/2019 Last modified: 05/08/2019
   The findings of our review into the embedding of the Senior Managers and Certification Regime (SM&CR) in the banking sector. The SM&CR was introduced for deposit-taking firms and dual-regulated investment firms (the banking sector) in March 2016.

6. 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.

7. Credit unions

   Tasks for firms Published: 11/05/2015 Last modified: 03/11/2023
   Find out how to get authorised and about other requirements for credit unions.

8. Promoting competitiveness is a juggling act

   Speeches Published: 18/04/2024 Last modified: 18/04/2024
   Speech by Sarah Pritchard, Executive Director, Markets and Executive Director, International at TheCityUK International Conference 2024.

9. Statistics provided on the Senior managers' Regime - January 2020

   FOI Release Date of Release: 03/01/2020
   FCA Provides Statistics of Individuals under the scope of Senior Managers and Certification Regime.

10. DP23/3: Review of the Senior Managers and Certification Regime (SM&CR)

    Discussion papers Published: 30/03/2023 Last modified: 09/08/2023
    In this joint Discussion Paper (DP) with the PRA, we are seeking input on potential ways to improve the Senior Managers and Certification Regime (SM&CR).