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Showing 32 to 41 of 674 search results for senior managers regime.

  1. 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.
  2. Regulation round-up February 2016

    Newsletters Published: 18/02/2016 Last modified: 18/02/2016
    The rules aim to restore trust in financial services firms. They include the Senior Managers Regime, the Certification Regime and Conduct Rules for deposit takers, and the Senior Insurance Managers Regime ... CP: Extension of the Certification Regime to
  3. PS20/5: Extending the Senior Managers Regime to benchmark administrators: final rules [pdf]

    Policy statements Published: 02/06/2020
    In CP19/31, we set out proposals for extending the Senior Managers Regime (SMR) to benchmark administrators. This Policy Statement summarises feedback received and our response
  4. Regulation round-up December 2017

    Newsletters Published: 14/12/2017 Last modified: 14/12/2017
    Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.
  5. Chief Executive speaks at APM about recent work and future challenges

    Speeches Published: 20/07/2016 Last modified: 20/07/2016
    Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting.
  6. Getting culture and conduct right - the role of the regulator

    Speeches Published: 13/07/2016 Last modified: 18/07/2016
    Speech by Jonathan Davidson, Director of Supervision – retail and authorisations at the FCA, delivered at the 2nd Annual Culture and Conduct Forum for the Financial Services Industry in London.
  7. Overall responsibility and the legal function: DP16/4 [pdf]

    Discussion papers Published: 03/10/2016
    We are launching a discussion to clarify how and why the legal function is currently captured under the Senior Managers and Certification Regime (SM&CR) and to consider whether it should continue to be part of the regime.
  8. FS16/6: Senior Managers and Certification Regime: Feedback for all UK banks, investment firms and building societies [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.
  9. FS16/7: Senior Managers and Certification Regime: Feedback for branches of banks from outside the European Economic Area [pdf]

    Feedback statements Published: 28/09/2016 Last modified: 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.
  10. FS16/8: Senior Managers and Certification Regime: Feedback for branches of banks from within the European Economic Area [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.