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Showing 21 to 30 of 612 search results for under the Senior Managers Regime.
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FCA outlines proposals to extend the Senior Managers and Certification Regime to all financial services firms
In October 2015, HM Treasury announced its intention to extend the Senior Managers and Certification Regime (SM&CR) to all sectors of the financial services industry. -
Senior Managers and Certification Regime Banking Stocktake Report
The findings of our review into the embedding of the Senior Managers and Certification Regime (SM&CR) in the banking sector. The SM&CR was introduced for deposit-taking firms and dual-regulated investment firms (the banking sector) in March 2016. -
Tackling the hard questions
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Thomson Reuters Annual Compliance & Risk Summit on 26 April 2016, in London. This is the text of the speech as drafted, which may differ from the -
FCA consults on how to extend the Senior Managers Regime to benchmark administrators
FCA consults on how to extend the Senior Managers Regime (SMR) to benchmark administrators -
FCA extends the Senior Managers and Certification Regime to 47,000 firms
FCA extends the Senior Managers and Certification Regime to 47,000 firms -
CP15/37: Consequential amendments to the Senior Insurance Managers Regime (SIMR)
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). -
CP17/40: Individual accountability: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime
CP17/40: Individual accountability: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime. ... deposit takers; the Senior Managers and Certification Regime is already in place for these firms. -
Conduct risk in FX markets
Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe. -
Practical implications of US law on EU practice
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe. -
Benchmarks supervision
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