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Showing 41 to 50 of 702 search results for senior managers regime news.

  1. PS19/20: Optimising the Senior Managers & Certification Regime and feedback to CP19/4

    Policy statements Published: 26/07/2019 Last modified: 26/07/2019
    The Senior Managers & Certification Regime (SM&CR) was introduced for banking firms in 2016 and insurers in December 2018. It will apply to solo-regulated firms from December 2019.

  2. 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.

  3. Compliance, Culture and Evolving Regulatory Expectations

    Speeches Published: 26/04/2021 Last modified: 26/04/2021
    Speech by Mark Steward, Executive Director of Enforcement and Market Oversight.

  4. Information on enforcement investigations opened against individuals (SMR) - May 2022

    FOI Release Date of Release: 11/05/2022
    The FCA provides data on enforcement investigations opened against individuals (SMR).

  5. Event costs

    Last modified: 08/04/2024
    Overall approximate costs for public events that we organise and publicise, from April 2013 onwards.

  6. Firms

    Firms Last modified: 27/07/2022
    Tasks for regulated firms and authorisation information for new firms

  7. Rules that apply to firms in SRO and fund operators in the TMPR

    Firms Focus areas Published: 19/08/2020 Last modified: 02/01/2024
    We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR).

  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. Approved Persons Regime

    Tasks for firms Published: 12/05/2015 Last modified: 27/04/2023
    Approved persons carry out certain activities on a firm's behalf and must be regulated by us. Learn about our requirements, conduct rules and 'fit and proper' test.

  10. Letter from the Chairman to the Chancellor on Senior Managers and Certificate Scheme: extension to foreign banks

    Statements Published: 12/06/2014 Last modified: 13/06/2014
    1 Horse Guards Road. London. SW1A 2HQ. Thank you for your letter regarding the Senior Managers & Certificate Regime: extension to UK branches of foreign banks. ... expect, I welcome your intention to apply the Senior Managers & Certification Regime (“SM