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Showing 161 to 170 of 478 search results for principles of the Senior Managers Regime.

  1. FS16/6: Senior Managers and Certification Regime: Feedback for all UK banks, investment firms and building societies [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.

  2. FS16/7: Senior Managers and Certification Regime: Feedback for branches of banks from outside the European Economic Area [pdf]

    Feedback statements Published: 28/09/2016 Last modified: 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.

  3. FS16/8: Senior Managers and Certification Regime: Feedback for branches of banks from within the European Economic Area [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.

  4. Reviewing your resources

    Tasks for regulated firms Published: 03/08/2015 Last modified: 15/02/2023
    If you are a regulated firm, or wish to become regulated, you should review the level of resources required to operate your business effectively.

  5. SM&CR: Form K user guide for Enhanced firms [pdf]

    Published: 11/10/2019
    Form K is the conversion notification form. It enables firms to tell us which approved individuals they wish to convert from the Approved Persons Regime (APR) to corresponding Senior Management Functions (SMFs) under the Senior Managers &

  6. AIFM notifications

    Markets Published: 08/06/2016 Last modified: 05/07/2023
    Full-scope UK Alternative Investment Fund Managers (AIFMs) must tell us of material changes to the conditions for initial authorisation. Find out about the different rules and what you must do.

  7. SM&CR: Form K user guide for Core Firms with a CF2 who require a non-executive chair (SMF9) [pdf]

    Published: 11/10/2019
    Form K is the conversion notification form. It enables firms to tell us which approved individuals they wish to convert from the Approved Persons Regime (APR) to corresponding Senior Management Functions (SMFs) under the Senior Managers &

  8. Guidance on the duty of responsibility: PS17/9

    Policy statements Published: 28/09/2016 Last modified: 03/05/2017
    In this Policy Statement, we set out guidance in the Decision Procedure and Penalties Manual (DEPP) on how we will enforce the ‘duty of responsibility’.

  9. PS16/3: Strengthening accountability in banking: Feedback on CP15/22 and CP15/31; rules on extending the certification regime to wholesale market activities and interim rules on referencing [pdf]

    Policy statements Published: 04/02/2016 Last modified: 04/02/2016
    In this policy statement we set out final rules for the new accountability framework for individuals working in banks, building societies and credit unions who perform certain wholesale market activities.

  10. PS19/20: Optimising the Senior Managers & Certification Regime and feedback to CP19/4 [pdf]

    Policy statements Published: 26/07/2019