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Showing 122 to 131 of 679 search results for senior managers regime.

  1. Transforming culture in financial services

    Speeches Published: 19/03/2018 Last modified: 19/03/2018
    Speech by Andrew Bailey, Chief Executive of the FCA, at the Transforming culture in financial services conference.
  2. CP17/25: Individual accountability - extending the Senior Managers and Certification Regime to all FCA firms [pdf]

    Consultation papers Published: 26/07/2017
    We are consulting on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms.
  3. Debating trust and confidence in banking

    Speeches Published: 28/05/2015 Last modified: 28/05/2015
    Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the ResPublica Vocational Banking event in London. This is the text of the speech as drafted, which may differ from the delivered version.
  4. Strengthening Accountability in Banking: Senior Managers & Certification Regime slides [pdf]

    Documents Published: 06/10/2015 Last modified: 03/08/2016
    These slides provide additional information for firms on the regime. They summarise existing information and do not represent formal FCA Guidance.
  5. CP17/40: Individual accountability: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime [pdf]

    Consultation papers Published: 13/12/2017
    We are consulting on how FSMA authorised firms and individuals will move to the Senior Managers and Certification Regime.
  6. Regulation round-up October 2016

    Newsletters Published: 20/10/2016 Last modified: 20/10/2016
    Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.
  7. FS16/9: Senior Managers and Certification Regime: Feedback for Credit Unions [pdf]

    Feedback statements Published: 28/09/2016
    We are reporting the findings of our in-depth supervisory review of the Statements of Responsibilities (SoRs) and responsibilities maps supplied with grandfathering notifications for firms.
  8. Regulation round-up September 2016

    Newsletters Published: 15/09/2016 Last modified: 06/03/2017
    Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.
  9. 2019 Disclosure Log

    Last modified: 02/10/2020
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2019. 
  10. The Senior Managers and Certification Regime: Guide for insurers [pdf]

    Policy statements Published: 04/07/2018 Last modified: 19/11/2018