Showing 1 to 11 of 336 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: 26/07/2017
   Parliament extended the banking sector’s Senior Managers and Certification Regime (SM&CR) to cover all FSMA authorised firms.

3. Senior Managers and Certification Regime: banking

   Tasks for regulated firms Published: 26/07/2017 Last modified: 26/07/2017
   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.

4. Senior Managers and Certification Regime

   Tasks for regulated firms Published: 07/07/2015 Last modified: 03/08/2017
   The Senior Managers and Certification Regime (SM&CR) replaces the current 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: 26/07/2017
   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. 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. 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...

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. 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.

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

    Policy statements Published: 02/03/2016 Last modified: 26/05/2016
    In this Policy Statement we report on the main issues arising from Consultation Paper 16/1 Consequential Changes to the Senior Managers Regime and publish the final rules. Why are we issuing this policy statement? In January 2016 the Financial Conduct Authority (FCA) consulted on proposed consequential amendments to the Senior Managers and...