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Showing 1 to 10 of 612 search results for under the Senior Managers Regime.

1. Information on investigations opened under the Senior Managers' Regime - June 2022

   FOI Release Date of Release: 22/06/2022
   The FCA provides information on investigations opened under the Senior Managers' Regime.

2. Information on the number of individuals who currently come under the Senior Managers Regime - May 2020

   FOI Release Date of Release: 22/05/2020
   FCA provides information on the number of individuals who currently come under the Senior Managers Regime.

3. 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

4. Milestone for insurers as they come under the Senior Managers and Certification Regime

   News stories Published: 10/12/2018 Last modified: 10/12/2018
   The Senior Managers and Certification Regime (SM&CR) has been extended to all insurers regulated by the Financial Conduct Authority (FCA) and Prudential Regulation Authority from today.

5. Information on number of enforcement investigations opened against individuals under the Senior Managers & Certification Regime - November 2020

   FOI Release Date of Release: 18/11/2020
   FCA provides information on number of enforcement investigations opened against individuals under the Senior Managers & Certification Regime.

6. Senior Managers and Certification Regime

   Tasks for regulated firms Published: 06/07/2015 Last modified: 06/02/2023
   The Senior Managers and Certification Regime (SM&CR) changed how people working in financial services are regulated. See how it applies to your firm.

7. Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms

   Statements Published: 03/04/2020 Last modified: 22/09/2022
   Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms

8. Enforcement investigations and the Senior Managers Regime information - October 2020

   FOI Release Date of Release: 05/10/2020
   FCA provides information on Enforcement investigations and the Senior Managers Regime.

9. Statistics provided on the Senior managers' Regime - January 2020

   FOI Release Date of Release: 03/01/2020
   FCA Provides Statistics of Individuals under the scope of Senior Managers and Certification Regime.

10. 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