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Showing 1 to 11 of 179 search results for senior managers regime news.

  1. 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.
  2. FCA outlines proposals to extend the Senior Managers and Certification Regime to all financial services firms

    Press Releases Published: 26/07/2017 Last modified: 26/07/2017
    In October 2015, HM Treasury announced its intention to extend the Senior Managers and Certification Regime (SM&CR) to all sectors of the financial services industry.
  3. 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...
  4. Statement from the Financial Conduct Authority following the announcement by HM Treasury of changes to the Senior Managers’ Regime

    Statements Published: 15/10/2015 Last modified: 15/10/2015
    Today, HM Treasury announced that it planned to make changes to the Senior Managers’ and Certification Regime, which was introduced by the Financial Services (Banking Reform) Act 2013. The Government now considers it appropriate to extend the Senior Managers’ and Certification Regime to all financial services firms and to replace the
  5. 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.
  6. 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.
  7. Clarifying our supervisory intentions: overall responsibility for the legal function under the Senior Managers Regime

    Statements Published: 27/01/2016 Last modified: 26/05/2016
    It has come to our attention that there is uncertainty as to whether an individual in charge of a firm’s legal function requires approval under our Senior Managers regime. This statement: describes our plans to consult on this area; and makes clear that firms that have sought to make decisions in good faith about whether or not approval is needed...
  8. Accountability, from debate to reality

    Speeches Published: 14/07/2015 Last modified: 19/04/2016
    Speech by Martin Wheatley, CEO of the Financial Conduct Authority, delivered at the City & Financial conference, London. This is the text of the speech as drafted, which may differ from the delivered version.
  9. Statement: Strengthening Accountability in Banking

    Statements Published: 03/03/2015 Last modified: 08/09/2016
    Following the publication of the joint FCA/PRA consultation papers in July and December 2014  on Strengthening Accountability in Banking, the Treasury has today announced that the commencement date for the new Senior Managers and Certification Regime (SM&CR) will be 7 March 2016 and that transitional documentation will need to be submitted to the...
  10. FCA sets out approach to Non-Executive Directors and the Senior Managers Regime

    Press Releases Published: 23/02/2015 Last modified: 23/02/2015
    Non-Executive Directors (NEDs) with specific responsibilities, such as Chairman, will come under the new Senior Managers Regime (SMR), the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) confirmed today. Following a detailed consultation across industry and with stakeholders it was also decided the regime would not...