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Showing 81 to 90 of 263 search results for Consequential Changes to the Senior Managers Regime.

  1. Fair and effective markets review

    Speeches Published: 14/07/2015 Last modified: 23/10/2015
    The recommendations seek to embed accountability with front-line staff for their actions and to make senior managers properly responsible for their role in controlling their businesses and managing their staff. ... First, the Senior Managers and

  2. Cryptoassets: AML / CTF regime - Registering with the FCA

    Published: 22/03/2023 Last modified: 01/07/2024
    You must register with us if you want to provide cryptoasset services that come within the scope of money laundering regulations. Find out if this applies to you and how to register.

  3. 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

  4. FCA confirms accountability rules for wholesale traders and interim rules on regulatory references

    Press Releases Published: 04/02/2016 Last modified: 19/04/2016
    The Senior Managers Regime will ensure that senior managers can be held accountable for any misconduct that falls within their areas of responsibilities, the new certification regime and conduct rules aim ... the Senior Managers Regime focuses on

  5. SM&CR categorisation for solo-regulated firms

    Tasks for regulated firms Published: 31/07/2019 Last modified: 06/02/2023
    Under SM&CR, solo-regulated firms are categorised as limited scope, core or enhanced. Find out which category your firm is in and how you can review this.

  6. Climate change and sustainable finance

    Published: 19/04/2021 Last modified: 24/06/2024
    The FCA's work on climate change and other environmental, social and governance (ESG) issues.

  7. FCA launches enhanced Financial Services Register to protect consumers

    Press Releases Published: 27/07/2020 Last modified: 27/07/2020
    The FCA has today launched its updated Financial Services (FS) Register – including a simpler design and clearer language.

  8. Approved Persons help text: Connect

    Published: 12/05/2016 Last modified: 04/10/2023
    Read the FCA Connect help text for Approved Persons.

  9. PS19/20: Optimising the Senior Managers & Certification Regime and feedback to CP19/4

    Policy statements Published: 26/07/2019 Last modified: 26/07/2019
    The Senior Managers & Certification Regime (SM&CR) was introduced for banking firms in 2016 and insurers in December 2018. It will apply to solo-regulated firms from December 2019.

  10. Principals and appointed representatives

    Tasks for firms Firms Published: 09/05/2015 Last modified: 24/04/2024
    If you’re a principal firm for an appointed representative (AR), find out what your responsibilities are and when to notify the FCA.