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Showing 1 to 11 of 446 search results for senior managers regime.

1. Improving individual accountability

   The FCA and PRA are introducing a range of policy changes, including the Senior Managers Regime, that aim to increase individual accountability within the banking sector. The main rules came into effect on 7 March 2016.

2. Senior Managers and Certification Regime: insurers

   Tasks for regulated firms Published: 08/12/2015 Last modified: 07/12/2018
   The Senior Managers and Certification Regime (SM&CR) applied to all dual-regulated insurers from 10 December 2018.

3. Senior Managers and Certification Regime

   Tasks for regulated firms Published: 26/07/2017 Last modified: 29/11/2018
   The Senior Managers Regime is required to obtain FCA compliance in the banking sector. Learn about the Senior Managers Regime, Certification Regime and Conduct Rules.

4. Senior Managers and Certification Regime

   Tasks for regulated firms Published: 07/07/2015 Last modified: 07/12/2018
   The Senior Managers and Certification Regime (SM&CR) replaces the Approved Persons Regime, changing how people working in financial services are regulated.

5. Senior Managers and Certification Regime: solo-regulated firms

   Tasks for regulated firms Published: 26/07/2017 Last modified: 11/10/2018
   On 4 July 2018, we published near final rules for how we plan to extend the Senior Managers and Certification Regime (SM&CR) to all solo-regulated firms. Solo-regulated firms are regulated by the FCA only. Dual-regulated firms are regulated by the FCA and the PRA.

6. Tackling the hard questions

   Speeches Published: 28/04/2016 Last modified: 18/01/2017
   Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Thomson Reuters Annual Compliance & Risk Summit on 26 April 2016, in London. This is the text of the speech as drafted, which may differ from the delivered version.

7. PS18/14: Extending the Senior Managers and Certification Regime to FCA firms – Feedback to CP17/25 and CP17/40, 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.

8. CP17/41: Individual accountability: Transitioning insurers and individuals to the Senior Managers & Certification Regime

   Consultation papers Published: 13/12/2017 Last modified: 22/02/2018
   We consulted on how insurers and individuals will move to the Senior Managers and Certification Regime.

9. 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 accountability within the banking sector.

10. Regulation round-up February 2016

    Newsletters Published: 18/02/2016 Last modified: 18/02/2016
    Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector. Read or download the full Regulation round-up: February 2016 Sign up to Regulation round-up monthly updates Introduction: Andrew Whyte, Director of Communications Welcome to February's edition of Regulation round-up. This...

11. Senior Managers and Certification Regime: Client Dealing Function

    Tasks for regulated firms Published: 19/11/2018 Last modified: 17/12/2018
    On this page we provide more information on the scope of the Client Dealing Function under the Senior Managers and Certification Regime (SM&CR).