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Showing 1 to 11 of 364 search results for senior managers regime.

  1. Senior Managers and Certification Regime: insurers

    Tasks for regulated firms Published: 08/12/2015 Last modified: 11/01/2018
    Parliament extended the banking sector’s Senior Managers and Certification Regime (SM&CR) to cover all FSMA authorised firms.
  2. Senior Managers and Certification Regime: banking

    Tasks for regulated firms Published: 26/07/2017 Last modified: 08/11/2017
    The Senior Managers and Certification Regime (SM&CR) replaced the Approved Persons Regime (APR) for banks, building societies, credit unions and dual-regulated (FCA and PRA regulated) investment firms in March 2016.
  3. Senior Managers and Certification Regime

    Tasks for regulated firms Published: 07/07/2015 Last modified: 11/01/2018
    The Senior Managers and Certification Regime (SM&CR) replaces the current Approved Persons Regime, changing how people working in financial services are regulated.
  4. Senior Managers and Certification Regime: solo-regulated firms

    Tasks for regulated firms Published: 26/07/2017 Last modified: 11/01/2018
    Solo-regulated firms are regulated by the FCA only. Dual-regulated firms are regulated by the FCA and the PRA.
  5. CP17/41: Individual accountability: Transitioning insurers and individuals to the Senior Managers & Certification Regime

    Consultation papers Published: 13/12/2017 Last modified: 13/12/2017
    We are consulting on how insurers and individuals will move to the Senior Managers and Certification Regime.
  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. 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.
  8. CP17/25: Individual accountability - extending the Senior Managers and Certification Regime to all FCA firms

    Consultation papers Published: 26/07/2017 Last modified: 26/07/2017
    We are consulting on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms.
  9. 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...
  10. 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.