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Showing 82 to 91 of 676 search results for senior managers regime.

  1. PS18/15: Extending the Senior Managers & Certification Regime to insurers - Feedback to CP17/26 and CP17/41 and near-final rules [pdf]

    Policy statements Published: 04/07/2018
  2. CP19/4: Optimising the Senior Managers & Certification Regime and feedback to DP16/4 – Overall responsibility and the legal function [pdf]

    Consultation papers Published: 23/01/2019
  3. PS19/20: Optimising the Senior Managers & Certification Regime and feedback to CP19/4 [pdf]

    Policy statements Published: 26/07/2019
  4. GC18/4: Senior Managers and Certification Regime: Proposed guidance on statements of responsibilities and responsibilities maps for FCA firms [pdf]

    Guidance consultations Published: 11/10/2018
  5. PS19/9: Applying the Senior Managers and Certification Regime to Claims Management Companies [pdf]

    Policy statements Published: 29/03/2019
  6. Whistleblowing in practice: Case studies

    Last modified: 10/08/2021
    Are you thinking about blowing the whistle on wrongdoing? Find out how whistleblowing can help the FCA to act. 
  7. Firms

    Firms Last modified: 15/07/2021
    Tasks for regulated firms and authorisation information for new firms
  8. PS19/9: Applying the Senior Managers and Certification Regime to Claims Management Companies

    Policy statements Published: 20/09/2018 Last modified: 29/03/2019
    This Policy Statement outlines how we will apply our Senior Managers and Certification Regime (SM&CR) to claims management companies (CMCs) and their staff. The regime aims to strengthen individual accountability in the firms we regulate and raise
  9. Banks, building societies and credit unions

    Firms Banks building societies and credit unions Last modified: 23/09/2021
    Banks, building societies and credit unions landing page
  10. PS18/14: Extending the Senior Managers and Certification Regime to FCA firms – Feedback to CP17/25 and CP17/40, 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.