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Showing 1 to 10 of 415 search results for principles of the Senior Managers Regime.

  1. Senior Managers and Certification Regime

    Tasks for regulated firms Focus areas Published: 06/07/2015 Last modified: 26/07/2021
    Senior Managers and Certification regime
  2. Examining the future of anti-money laundering regulations

    Speeches Published: 08/12/2015 Last modified: 16/08/2021
    Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015
  3. Senior Managers and Certification Regime: dual-regulated firms

    Tasks for regulated firms Published: 08/12/2015 Last modified: 27/01/2021
    The Senior Managers and Certification Regime (SM&CR) applied to all dual-regulated insurers from 10 December 2018.
  4. Senior Managers and Certification Regime: solo-regulated firms

    Tasks for regulated firms Published: 26/07/2017 Last modified: 26/11/2020
    Information for solo-regulated firms regarding the Senior Managers and Certification Regime (SM&CR).
  5. Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of solo-regulated firms

    Statements Published: 03/04/2020 Last modified: 06/05/2020
    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
  6. Senior Managers and Certification Regime: one year on

    News stories Published: 07/03/2017 Last modified: 07/03/2017
    Today marks one year since the implementation of the Senior Managers and Certification Regime (SMCR), a range of policy changes introduced by the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) to increase individual
  7. Rules that apply to firms and fund operators in the TPR

    Firms Focus areas Published: 20/08/2020 Last modified: 07/01/2021
    We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR).
  8. 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
  9. Regulation round-up December 2018

    Newsletters Published: 13/12/2018 Last modified: 13/12/2018
    Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.
  10. How we are applying the principles of the SMR to the FCA [pdf]

    Corporate documents Published: 01/04/2016 Last modified: 28/07/2021
    We are applying the principles of the Senior Managers Regime to our own senior managers including members of our Board, Executive Committee and those carrying out Senior Management Functions.