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Showing 1 to 11 of 694 search results for senior managers regime.
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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. -
Senior Managers and Certification Regime: dual-regulated firms
The Senior Managers and Certification Regime (SM&CR) applied to all dual-regulated insurers from 10 December 2018. -
Senior Managers and Certification Regime: solo-regulated firms
Information for solo-regulated firms regarding the Senior Managers and Certification Regime (SM&CR). -
Tackling the hard questions
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 -
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 -
Senior Managers and Certification Regime
Senior Managers and Certification regime -
The expanding scope of individual accountability for corporate misconduct
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement -
Benchmarks supervision
Benchmark administrators and supervised contributors are supervised by the Benchmarks Supervision team, a specialist team within our Wholesale Supervision division. -
Practical implications of US law on EU practice
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe. -
Changes in mortgage regulation
Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations, delivered at the Council of Mortgage Lenders conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
CP16/1: Consequential changes to the Senior Managers Regime
CP16/1: Consequential changes to the Senior Managers Regime. Consultation papers First published:. ... CP16/1: Consequential changes to the Senior Managers Regime.