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Showing 1 to 11 of 679 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: 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.

3. 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).

4. 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

5. PS16/6: Consequential Changes to the Senior Managers Regime

   Policy statements Published: 02/03/2016 Last modified: 26/05/2016
   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

6. 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

7. The expanding scope of individual accountability for corporate misconduct

   Speeches Published: 03/04/2017 Last modified: 05/04/2017
   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

8. Benchmarks supervision

   Markets Published: 22/04/2016 Last modified: 31/12/2020
   Benchmark administrators and supervised contributors are supervised by the Benchmarks Supervision team, a specialist team within our Wholesale Supervision division.

9. Practical implications of US law on EU practice

   Speeches Published: 19/01/2017 Last modified: 20/01/2017
   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.

10. CP16/1: Consequential changes to the Senior Managers Regime

    Consultation papers Published: 06/01/2016 Last modified: 02/03/2016
    CP16/1: Consequential changes to the Senior Managers Regime. Consultation papers First published:. ... CP16/1: Consequential changes to the Senior Managers Regime.

11. FCA sets out approach to Non-Executive Directors and the Senior Managers Regime

    Press Releases Published: 23/02/2015 Last modified: 23/02/2015
    FCA sets out approach to Non-Executive Directors and the Senior Managers Regime. ... Non-Executive Directors (NEDs) with specific responsibilities, such as Chairman, will come under the new Senior Managers Regime (SMR), the Financial Conduct Authority