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Showing 22 to 31 of 676 search results for senior managers regime.

  1. Video transcript: banking leaders’ experiences of adopting the Senior Managers and Certification Regime [pdf]

    Documents Published: 07/02/2019
  2. CP15/37: Consequential amendments to the Senior Insurance Managers Regime (SIMR)

    Consultation papers Published: 11/11/2015 Last modified: 11/11/2015
    CP15/37: Consequential amendments to the Senior Insurance Managers Regime (SIMR). Consultation papers First published:. ... PRA: Consequential amendments to the Senior Managers Regime (SMR) and the Senior Insurance Managers Regime (SIMR).
  3. Credit unions

    Tasks for regulated firms Published: 12/05/2015 Last modified: 03/02/2021
    Find out about credit unions: how to register and become authorised, reporting rules, yearly fees and how to change your society’s details.
  4. [pdf]

    Correspondence Published: 12/06/2014 Last modified: 05/09/2014
  5. Clarifying our supervisory intentions: overall responsibility for the legal function under the Senior Managers Regime

    Statements Published: 27/01/2016 Last modified: 26/05/2016
    It has come to our attention that there is uncertainty as to whether an individual in charge of a firm’s legal function requires approval under our Senior Managers regime. This statement:describes our plans to consult on this area; and makes clear
  6. Transcript - Senior Managers and Certification Regime July 2018 video [pdf]

    Transcripts Published: 14/11/2019
    Transcript of 2018 video covering the key components of the SM&CR. Video here https://www.fca.org.uk/firms/senior-managers-certification-regime/insurers
  7. Senior Managers and Certification Regime: one year on

    News stories Published: 07/03/2017 Last modified: 07/03/2017
    Today marks one year since the implementation of the Senior Managers and Certification Regime (SMCR), a range of policy changes introduced by the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) to increase individual
  8. Regulation round-up December 2018

    Newsletters Published: 13/12/2018 Last modified: 13/12/2018
    Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.
  9. Regulating the funeral plans sector

    Firms Published: 05/02/2021 Last modified: 01/09/2021
    On 29 July 2022, the FCA will start regulating the pre-paid funeral plans sector. Find out what this means for funeral plan providers and intermediaries.
  10. CP17 /41: Individual accountability: Transitioning insurers 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.