Filter results
Category
Filter by document type
Document type
Filter by year
Sort by:

Search results

Showing 1 to 10 of 522 search results for under the Senior Managers Regime.

  1. 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
  2. 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.
  3. Regulation round-up December 2018

    Newsletters Published: 13/12/2018 Last modified: 13/12/2018
    Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.
  4. Senior Managers and Certification Regime

    Tasks for regulated firms Focus areas Published: 06/07/2015 Last modified: 26/07/2021
    Senior Managers and Certification regime
  5. 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: 06/04/2020
    Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms
  6. Senior Managers and Certification Regime: solo-regulated firms

    Tasks for regulated firms Published: 26/07/2017 Last modified: 26/11/2020
    Information for solo-regulated firms regarding the Senior Managers and Certification Regime (SM&CR).
  7. Regulation round-up February 2019

    Newsletters Published: 21/02/2019 Last modified: 21/02/2019
    Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.
  8. Regulation round-up October 2017

    Newsletters Published: 19/10/2017 Last modified: 19/02/2018
    Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.
  9. Examining the future of anti-money laundering regulations

    Speeches Published: 08/12/2015 Last modified: 16/08/2021
    Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015
  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: 06/05/2020
    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