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Showing 1 to 10 of 478 search results for principles of the Senior Managers Regime.

1. 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.

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. 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.

4. 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

5. 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.

6. 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).

7. PS16/6: Consequential Changes to the Senior Managers Regime

   Policy statements Published: 02/03/2016 Last modified: 26/05/2016
   PS16/6: Consequential Changes to the Senior Managers Regime. Policy statements First published:. ... In this Policy Statement we report on the main issues arising from Consultation Paper 16/1 Consequential Changes to the Senior Managers Regime and

8. Rules that apply to firms in SRO and fund operators in the TMPR

   Firms Focus areas Published: 19/08/2020 Last modified: 02/01/2024
   We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR).

9. 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.

10. 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.