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Showing 1 to 10 of 609 search results for under the Senior Managers Regime.
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Information on investigations opened under the Senior Managers' Regime - June 2022
The FCA provides information on investigations opened under the Senior Managers' Regime. -
Senior Managers and Certification Regime: one year on
The FCA marks one year since we introduced of the Senior Managers and Certification Regime. -
Information on the number of individuals who currently come under the Senior Managers Regime - May 2020
FCA provides information on the number of individuals who currently come under the Senior Managers Regime. -
Clarifying our supervisory intentions: overall responsibility for the legal function under the Senior Managers Regime
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 -
Milestone for insurers as they come under the Senior Managers and Certification Regime
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. -
Senior Managers and Certification Regime
The Senior Managers and Certification Regime (SM&CR) changed how people working in financial services are regulated. See how it applies to your firm. -
Information on number of enforcement investigations opened against individuals under the Senior Managers & Certification Regime - November 2020
FCA provides information on number of enforcement investigations opened against individuals under the Senior Managers & Certification Regime. -
Enforcement investigations and the Senior Managers Regime information - October 2020
FCA provides information on Enforcement investigations and the Senior Managers Regime. -
Statistics provided on the Senior managers' Regime - January 2020
FCA Provides Statistics of Individuals under the scope of Senior Managers and Certification Regime. -
Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms
Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms