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Showing 11 to 20 of 702 search results for senior managers regime news.
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Practical implications of US law on EU practice
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. -
Statistics provided on the Senior managers' Regime - January 2020
FCA Provides Statistics of Individuals under the scope of Senior Managers and Certification Regime. -
DP23/3: Review of the Senior Managers and Certification Regime (SM&CR)
In this joint Discussion Paper (DP) with the PRA, we are seeking input on potential ways to improve the Senior Managers and Certification Regime (SM&CR). -
Extension of the Senior Managers & Certification Regime (SM&CR) implementation periods for solo-regulated firms
The deadline for solo-regulated firms to have undertaken the first assessment of the fitness and propriety of their Certified Persons has been delayed from 9 December 2020 until 31 March 2021. -
PS16/6: Consequential Changes to the Senior Managers Regime
PS16/6: Consequential Changes to the Senior Managers Regime. Policy statements First published:. ... In this Policy Statement we report on the main issues arising from Consultation Paper 16/1 Consequential Changes to the Senior Managers Regime and -
FCA consults on how to extend the Senior Managers Regime to benchmark administrators
FCA consults on how to extend the Senior Managers Regime (SMR) to benchmark administrators -
Information on the Senior Managers Certification Regime fines - April 2022
The FCA provides information on how many fines were issued to Senior managers. -
Banking leaders share their insights on adopting the Senior Managers and Certification Regime
Watch senior leaders from four financial services firms talk about their experiences of adopting the Senior Managers and Certification Regime. -
Changes in mortgage regulation
Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations, delivered at the Council of Mortgage Lenders conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Information on Senior Manager Regime applications - April 2022
The FCA answers multiple questions on Senior Managers Regime applications.