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Showing 72 to 81 of 676 search results for senior managers regime.

  1. CP16/1: Consequential changes to the Senior Managers Regime [pdf]

    Consultation papers Published: 06/01/2016 Last modified: 23/02/2016
    This Consultation Paper (CP) sets out how we intend to implement the consequential changes to rules and forms that will be required prior to commencement of the regime. It also examines the impact that we believe they will have upon the industry and
  2. Financial Advisers

    Financial advisers Last modified: 23/09/2021
    Financial advisers must be up to speed with the latest, relevant policy to better serve consumers. Read our comprehensive resources for financial advisers here.
  3. Claims management companies

    Claims management companies Last modified: 23/09/2021
    On 1 April 2019 the FCA will become the regulator of claims management companies in England, Wales and Scotland. Find out more.
  4. REP008: Conduct Rules reporting for solo-regulated firms

    Tasks for regulated firms Published: 13/08/2020 Last modified: 07/06/2021
    Find out about the REP008 annual reporting requirement for solo-regulated firms.
  5. PS18/15: Extending the Senior Managers & Certification Regime to insurers – Feedback to CP17/26 and CP17/41 and near-final rules

    Policy statements Published: 26/07/2017 Last modified: 04/07/2018
    We have published near-final rules on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms.
  6. Sole advisers

    Sole advisers Last modified: 23/09/2021
    Sole advisers
  7. Approved Persons Regime

    Tasks for regulated firms Published: 12/05/2015 Last modified: 01/09/2021
    Firms need at least one FCA approved person to be registered for the appropriate controlled functions. Learn how to pass the FCA's 'fit and proper' test required by all approved persons.
  8. PS16/3: Strengthening accountability in banking: Feedback on CP15/22 and CP15/31; rules on extending the certification regime to wholesale market activities and interim rules on referencing [pdf]

    Policy statements Published: 04/02/2016 Last modified: 04/02/2016
    In this policy statement we set out final rules for the new accountability framework for individuals working in banks, building societies and credit unions who perform certain wholesale market activities.
  9. FG19/2: Senior Managers and Certification Regime: Guidance on statements of responsibilities and Responsibilities Maps for FCA firms [pdf]

    Finalised guidance Published: 08/03/2019
    This final guidance provides practical assistance and information to solo-regulated firms when preparing their Statements of Responsibilities and Responsibilities Maps.
  10. PS18/14: Extending the Senior Managers & Certification Regime to FCA firms - Feedback to CP17/25 and CP17/40, and near-final rules [pdf]

    Policy statements Published: 04/07/2018