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Showing 1 to 11 of 502 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

   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.

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

   Tasks for regulated firms Published: 26/07/2017 Last modified: 05/06/2019
   From 9 December 2019, we are extending the Senior Managers and Certification Regime (SM&CR) to solo-regulated firms. By doing this, we aim to reduce harm to consumers and strengthen market integrity. This presents a unique opportunity to set a new standard of personal conduct for everyone working in financial services.

4. Senior Managers and Certification Regime: insurers

   Tasks for regulated firms Published: 08/12/2015 Last modified: 20/03/2019
   The Senior Managers and Certification Regime (SM&CR) applied to all dual-regulated insurers from 10 December 2018.

5. Senior Managers and Certification Regime

   Tasks for regulated firms Published: 07/07/2015 Last modified: 31/05/2019
   The Senior Managers and Certification Regime (SM&CR) replaces the Approved Persons Regime, changing how people working in financial services are regulated.

6. 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.

7. 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.

8. Senior Managers and Certification Regime: Client Dealing Function

   Tasks for regulated firms Published: 19/11/2018 Last modified: 23/01/2019
   On this page we provide more information on the scope of the Client Dealing Function under the Senior Managers and Certification Regime (SM&CR).

9. FG19/2: Senior Managers and Certification Regime: Guidance on statements of responsibilities and Responsibilities Maps for FCA firms [pdf]

   Finalised guidance Published: 08/03/2019
   This final guidance provides practical assistance and information to solo-regulated firms when preparing their Statements of Responsibilities and Responsibilities Maps.

10. The Senior Managers and Certification Regime: Guide for FCA solo-regulated firms [pdf]

    Policy statements Published: 04/07/2018

11. 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.