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Showing 102 to 111 of 679 search results for senior managers regime.

  1. Financial Advisers

    Financial advisers Last modified: 23/09/2021
    Financial advisers must be up to speed with the latest, relevant policy to better serve consumers. Read our comprehensive resources for financial advisers here.
  2. Regulation round-up January 2019

    Newsletters Published: 17/01/2019 Last modified: 28/03/2019
    Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.
  3. CP15/31: Strengthening accountability in banking and insurance: regulatory references

    Consultation papers Published: 06/10/2015 Last modified: 08/12/2015
    Senior management functions under the Senior Managers Regime (SMR). Significant harm functions under the Certification Regime (CR). ... PRA senior insurance management functions under the Senior Insurance Managers Regime (SIMR).
  4. Sole advisers

    Sole advisers Last modified: 23/09/2021
    Sole advisers
  5. Regulation round-up January 2016

    Newsletters Published: 21/01/2016 Last modified: 16/02/2016
    Mortgage Credit Directive (MCD). Statement: EBA guidelines on remuneration policies. Senior Managers Regime: Grandfathering notification. ... CP: Technical changes to the Senior Managers Regime. The Single Euro Payments Area (SEPA) compliance.
  6. Guidance on the duty of responsibility: PS17/9

    Policy statements Published: 28/09/2016 Last modified: 03/05/2017
    In this Policy Statement, we set out guidance in the Decision Procedure and Penalties Manual (DEPP) on how we will enforce the ‘duty of responsibility’.
  7. FCA confirms accountability rules for wholesale traders and interim rules on regulatory references

    Press Releases Published: 04/02/2016 Last modified: 19/04/2016
    The Senior Managers Regime will ensure that senior managers can be held accountable for any misconduct that falls within their areas of responsibilities, the new certification regime and conduct rules aim ... the Senior Managers Regime focuses on
  8. Regulation round-up March 2016

    Newsletters Published: 17/03/2016 Last modified: 17/03/2016
    Senior Managers Regime (SMR). Customer transactions. PS: Consequential changes to the SMR. ... Senior Managers Regime. FCA: Live & Local.
  9. Regulation round-up April 2018

    Newsletters Published: 19/04/2018 Last modified: 19/04/2018
    Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.
  10. SM&CR: Form K user guide for Enhanced firms [pdf]

    Published: 11/10/2019
    Form K is the conversion notification form. It enables firms to tell us which approved individuals they wish to convert from the Approved Persons Regime (APR) to corresponding Senior Management Functions (SMFs) under the Senior Managers &