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Showing 1 to 11 of 393 search results for senior managers regime news.

  1. Senior Managers and Certification Regime

    Tasks for regulated firms Published: 07/07/2015 Last modified: 07/12/2018
    The Senior Managers and Certification Regime (SM&CR) replaces the Approved Persons Regime, changing how people working in financial services are regulated.
  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. 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.
  4. CP17/41: Individual accountability: Transitioning insurers and individuals to the Senior Managers & Certification Regime

    Consultation papers Published: 13/12/2017 Last modified: 22/02/2018
    We consulted on how insurers and individuals will move to the Senior Managers and Certification Regime.
  5. PS18/15: Extending the Senior Managers & Certification Regime to insurers – Feedback to CP17/26 and CP17/41 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.
  6. Senior Managers and Certification Regime: solo-regulated firms

    Tasks for regulated firms Published: 26/07/2017 Last modified: 11/10/2018
    On 4 July 2018, we published near final rules for how we plan to extend the Senior Managers and Certification Regime (SM&CR) to all solo-regulated firms. Solo-regulated firms are regulated by the FCA only. Dual-regulated firms are regulated by the FCA and the PRA.
  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. CP17/40: Individual accountability: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime

    Consultation papers Published: 13/12/2017 Last modified: 22/02/2018
    We consulted on how FSMA ​​​​​authorised firms and individuals will move to the Senior Managers and Certification Regime.
  9. Milestone for insurers as they come under the Senior Managers and Certification Regime

    News stories Published: 10/12/2018 Last modified: 10/12/2018
    The Senior Managers and Certification Regime (SM&CR) has been extended to all insurers regulated by the Financial Conduct Authority (FCA) and Prudential Regulation Authority from today.
  10. FCA consults on how firms and individuals will transition to the Senior Managers and Certification Regime

    Press Releases Published: 13/12/2017 Last modified: 13/12/2017
    The Financial Conduct Authority (FCA) has today published a package of proposals on how firms and individuals will move to the Senior Managers and Certification Regime. The aim of the new regime is to make individuals more accountable for their conduct and competence.