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Showing 121 to 130 of 818 search results for senior managers regime.

121. Financial Services Register

     Registers and systems Published: 28/04/2016 Last modified: 04/11/2022
     The Financial Services Register is a public record of firms, individuals and other bodies that are PRA and/or FCA authorised. Search the register to find out if a firm is registered.

122. The Senior Managers and Certification Regime: Guide for insurers [pdf]

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

123. PS18/16: The Duty of Responsibility for insurers and FCA solo-regulated firms

     Policy statements Published: 13/12/2017 Last modified: 04/07/2018
     Firms should read the Policy Statement alongside the rules for how we will extend the Senior Managers and Certification Regime. ... We have also published Guides to the Senior Managers and Certification Regime for firms.

124. 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 &

125. 2017 Disclosure Log

     Last modified: 16/11/2023
     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 2017. 

126. Rolling regulation forwards

     Speeches Published: 16/11/2022 Last modified: 16/11/2022
     Speech by Nikhil Rathi, FCA Chief Executive delivered at the UK Finance annual dinner.

127. Extending the Senior Managers and Certification Regime: Cost-Benefit Analysis [pdf]

     Research insights Published: 04/07/2018

128. SM&CR: Form K user guide for Core Firms with a CF2 who require a non-executive chair (SMF9) [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 &

129. PS16/5: Strengthening accountability in banking and insurance: implementation of SM&CR and SIMR, and PRA requirements on regulatory references

     Policy statements Published: 15/02/2016 Last modified: 26/05/2016
     This policy statement contains, among other things, the PRA and FCA final rules to implement the proposals for applying the Senior Insurance Managers Regime (SIMR) to Swiss general insurers. ... In November 2015, the FCA and PRA consulted in a joint

130. Remote or hybrid working: FCA expectations for firms

     Tasks for regulated firms Published: 11/10/2021 Last modified: 13/02/2023
     It's likely many firms will continue new ways of working. The FCA sets out expectations so they can meet regulatory responsibilities.