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Showing 21 to 30 of 818 search results for senior managers regime.

21. Senior Managers and Certification Regime: one year on

    News stories Published: 07/03/2017 Last modified: 20/03/2024
    The FCA marks one year since we introduced of the Senior Managers and Certification Regime.

22. Credit unions

    Tasks for firms Published: 11/05/2015 Last modified: 03/11/2023
    Find out how to get authorised and about other requirements for credit unions.

23. Fair and effective markets review

    Speeches Published: 14/07/2015 Last modified: 23/10/2015
    The recommendations seek to embed accountability with front-line staff for their actions and to make senior managers properly responsible for their role in controlling their businesses and managing their staff. ... First, the Senior Managers and

24. 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

25. Information on the number of Senior Managers Regime applications in 2019/20 broken down by title on application - June 2020

    FOI Release Date of Release: 16/06/2020
    FCA provides information on the number of Senior Managers Regime applications in 2019/20 broken down by title.

26. Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of solo-regulated firms

    Statements Published: 03/04/2020 Last modified: 22/09/2022
    We recognise that firms directly affected by coronavirus (Covid-19) will need to keep their governance arrangements under review and make appropriate changes as circumstances change

27. DP23/3: Review of the Senior Managers and Certification Regime (SM&CR)

    Discussion papers Published: 30/03/2023 Last modified: 09/08/2023
    In this joint Discussion Paper (DP) with the PRA, we are seeking input on potential ways to improve the Senior Managers and Certification Regime (SM&CR).

28. Information on the Senior Managers Certification Regime fines - April 2022

    FOI Release Date of Release: 22/04/2022
    The FCA provides information on how many fines were issued to Senior managers.

29. Senior Managers and Certification Regime: Finalising FCA rules

    Statements Published: 10/07/2019 Last modified: 10/07/2019
    We have been working closely with HM Treasury on preparation of the Commencement Order needed to enable the FCA to publish final rules on the extension of the Senior Managers and Certification Regime (SM&CR).

30. FCA outlines proposals to extend the Senior Managers and Certification Regime to all financial services firms

    Press Releases Published: 26/07/2017 Last modified: 26/07/2017
    In October 2015, HM Treasury announced its intention to extend the Senior Managers and Certification Regime (SM&CR) to all sectors of the financial services industry.