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Showing 1 to 11 of 676 search results for senior managers regime.

  1. Senior Managers and Certification Regime: dual-regulated firms

    Tasks for regulated firms Published: 08/12/2015 Last modified: 27/01/2021
    The Senior Managers and Certification Regime (SM&CR) applied to all dual-regulated insurers from 10 December 2018.
  2. Senior Managers and Certification Regime: solo-regulated firms

    Tasks for regulated firms Published: 26/07/2017 Last modified: 26/11/2020
    Information for solo-regulated firms regarding the Senior Managers and Certification Regime (SM&CR).
  3. 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
  4. Examining the future of anti-money laundering regulations

    Speeches Published: 08/12/2015 Last modified: 16/08/2021
    Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015
  5. PS16/6: Consequential Changes to the Senior Managers Regime

    Policy statements Published: 02/03/2016 Last modified: 26/05/2016
    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
  6. Benchmarks supervision

    Markets Published: 22/04/2016 Last modified: 31/12/2020
    Benchmark administrators and supervised contributors are supervised by the Benchmarks Supervision team, a specialist team within our Wholesale Supervision division.
  7. The expanding scope of individual accountability for corporate misconduct

    Speeches Published: 03/04/2017 Last modified: 05/04/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement
  8. Senior Managers and Certification Regime

    Tasks for regulated firms Focus areas Published: 06/07/2015 Last modified: 26/07/2021
    Senior Managers and Certification regime
  9. 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.
  10. Changes in mortgage regulation

    Speeches Published: 11/11/2015 Last modified: 11/11/2015
    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.