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Showing 1 to 10 of 478 search results for principles of the Senior Managers Regime.
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Senior Managers and Certification Regime
The Senior Managers and Certification Regime (SM&CR) changed how people working in financial services are regulated. See how it applies to your firm. -
Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of solo-regulated firms
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 -
Senior Managers and Certification Regime: one year on
The FCA marks one year since we introduced of the Senior Managers and Certification Regime. -
FCA extends the Senior Managers and Certification Regime to 47,000 firms
FCA extends the Senior Managers and Certification Regime to 47,000 firms -
Statistics provided on the Senior managers' Regime - January 2020
FCA Provides Statistics of Individuals under the scope of Senior Managers and Certification Regime. -
DP23/3: Review of the Senior Managers and Certification Regime (SM&CR)
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). -
PS16/6: Consequential Changes to the Senior Managers Regime
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 -
Rules that apply to firms in SRO and fund operators in the TMPR
We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR). -
Information on the Senior Managers Certification Regime fines - April 2022
The FCA provides information on how many fines were issued to Senior managers. -
Information on Senior Manager Regime applications - April 2022
The FCA answers multiple questions on Senior Managers Regime applications.