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Showing 81 to 90 of 385 search results for senior managers regime ps.
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CP17 /41: Individual accountability: Transitioning insurers and individuals to the Senior Managers & Certification Regime [pdf]
We are consulting on how FSMA authorised firms and individuals will move to the Senior Managers and Certification Regime. -
PS16/6: Consequential Changes to the Senior Managers Regime [pdf]
In this Policy Statement we report on the main issues arising from Consultation Paper 16/1 Consequential Changes to the Senior Managers Regime and publish the final rules. -
How we are applying the principles of the SMR to the FCA [pdf]
We are applying the principles of the Senior Managers Regime to our own senior managers including members of our Board, Executive Committee and those carrying out Senior Management Functions. -
Optimising the Senior Managers and Certification Regime: Policy Statement 19/20 and Feedback to CP 19/4
Today we publish final rules on the extension of the Senior Managers and Certification Regime (SM&CR) to FCA solo-regulated firms, including claims management companies. -
Overall responsibility and the legal function: DP16/4 [pdf]
We are launching a discussion to clarify how and why the legal function is currently captured under the Senior Managers and Certification Regime (SM&CR) and to consider whether it should continue to be part of the regime. -
Rules that apply to firms in SRO and fund operators in the TMPR
We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR). -
PS20/5: Extending the Senior Managers Regime to benchmark administrators: final rules [pdf]
In CP19/31, we set out proposals for extending the Senior Managers Regime (SMR) to benchmark administrators. This Policy Statement summarises feedback received and our response -
CP15/37: Consequential amendments to the Senior Insurance Managers Regime (SIMR) [pdf]
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CP17/40: Individual accountability: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime [pdf]
We are consulting on how FSMA authorised firms and individuals will move to the Senior Managers and Certification Regime. -
CP17/25: Individual accountability - extending the Senior Managers and Certification Regime to all FCA firms [pdf]
We are consulting on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms.