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Showing 31 to 40 of 1000 search results for senior management regime.
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Senior Managers and Certification Regime Banking Stocktake Report
The findings of our review into the embedding of the Senior Managers and Certification Regime (SM&CR) in the banking sector. The SM&CR was introduced for deposit-taking firms and dual-regulated investment firms (the banking sector) in March 2016. -
Financial crime
Integrity of the UK's financial markets requires the FCA to ensure firms have effective systems and controls to detect, prevent and deter financial crime. Learn from good and poor examples and browse our guide to financial crime. -
Firms
Tasks for regulated firms and authorisation information for new firms -
Approved Persons Regime
Approved persons carry out certain activities on a firm's behalf and must be regulated by us. Learn about our requirements, conduct rules and 'fit and proper' test. -
FCA sets out approach to Non-Executive Directors and the Senior Managers Regime
FCA sets out approach to Non-Executive Directors and the Senior Managers Regime. ... Within the regime, senior executives will be expected to take accountability for the conduct of the business for which they are responsible. -
How we are applying the principles of the SMR to the FCA [pdf]
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. -
SM&CR: Form K user guide for Enhanced firms [pdf]
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 & -
Transparency
The FCA sets out to be as open and accountable as possible, so it can be scrutinised by consumers, firms and Parliament. To do this the FCA publishes information about regulated firms and individuals, or it requires firms and individuals to do so. -
Statement from the Financial Conduct Authority following the announcement by HM Treasury of changes to the Senior Managers’ Regime
There has been significant industry focus on this one, small element of the reforms, which risked distracting senior management within firms from implementing both the letter and spirit of the regime. ... The senior managers' and certification regime is -
Information on investigations opened under the Senior Managers' Regime - June 2022
The FCA provides information on investigations opened under the Senior Managers' Regime.