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Showing 141 to 150 of 478 search results for principles of the Senior Managers Regime.

  1. Transcript - Senior Managers and Certification Regime July 2018 video [pdf]

    Transcripts Published: 14/11/2019
    Transcript of 2018 video covering the key components of the SM&CR. Video here https://www.fca.org.uk/firms/senior-managers-certification-regime/insurers

  2. Information on the number of individuals who currently come under the Senior Managers Regime - May 2020

    FOI Release Date of Release: 22/05/2020
    FCA provides information on the number of individuals who currently come under the Senior Managers Regime.

  3. Banking leaders share their insights on adopting the Senior Managers and Certification Regime

    Press Releases Published: 07/02/2019 Last modified: 11/04/2024
    Watch senior leaders from four financial services firms talk about their experiences of adopting the Senior Managers and Certification Regime.

  4. Information on number of enforcement investigations opened against individuals under the Senior Managers & Certification Regime - November 2020

    FOI Release Date of Release: 18/11/2020
    FCA provides information on number of enforcement investigations opened against individuals under the Senior Managers & Certification Regime.

  5. PS18/15: Extending the Senior Managers & Certification Regime to insurers – Feedback to CP17/26 and CP17/41 and near-final rules

    Policy statements Published: 26/07/2017 Last modified: 04/07/2018
    We have published near-final rules on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms.

  6. Conduct risk in FX markets

    Speeches Published: 30/11/2016 Last modified: 30/11/2016
    Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe.

  7. Optimising the Senior Managers and Certification Regime: Policy Statement 19/20 and Feedback to CP 19/4

    News stories Published: 26/07/2019 Last modified: 26/07/2019
    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.

  8. Information on the number of Senior Managers Regime applications in 2019/20 broken down by title on application - June 2020

    FOI Release Date of Release: 16/06/2020
    FCA provides information on the number of Senior Managers Regime applications in 2019/20 broken down by title.

  9. What can the consumer credit sector expect from the FCA?

    Speeches Published: 21/03/2019 Last modified: 21/03/2019
    Speech by Jonathan Davidson, Executive Director of Supervision – Retail and Authorisations, at the Credit Summit, London.

  10. Information on enforcement investigations opened against individuals (SMR) - May 2022

    FOI Release Date of Release: 11/05/2022
    The FCA provides data on enforcement investigations opened against individuals (SMR).