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Showing 141 to 150 of 527 search results for Senior Managers Regime applications.

  1. Market abuse requires a dynamic response to a changing risk profile

    Speeches Published: 13/02/2019 Last modified: 17/05/2019
    Where there is no alternative to the recognised codes available in the market, firms and Senior Managers who choose not to adhere to the recognised codes, should carefully consider how they ... Without the right state of mind, I continue to believe, we

  2. Joint FCA and PRA statement on SM&CR and coronavirus: our expectations of dual-regulated firms - December 2020 update

    Published: 18/12/2020 Last modified: 18/01/2021
    In April 2020, we set out our expectations to help dual-regulated firms apply the SM&CR following the exceptional circumstances that arose from the coronavirus pandemic (Covid-19). We offered some additional flexibility in the application of the

  3. PS18/23: Claims management: how we will regulate claims management companies

    Policy statements Published: 05/06/2018 Last modified: 11/09/2023
    Our Policy Statement sets out the conduct, rules and fees we’ll apply to claims management companies (CMCs) from April 2019.

  4. Insurance brokers: serving consumers and businesses in times of uncertainty and change

    Speeches Published: 13/05/2022 Last modified: 13/05/2022
    Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the British Insurance Brokers' Association (BIBA) Conference.

  5. Investing in outcomes: a regulatory approach to deliver for consumers, markets and competitiveness

    Speeches Published: 14/03/2024 Last modified: 14/03/2024
    Speech by Nikhil Rathi, FCA Chief Executive delivered at the Morgan Stanley European Financials Conference.

  6. Benchmarks supervision

    Markets Published: 22/04/2016 Last modified: 14/12/2022
    Benchmark administrators and supervised contributors are overseen by the Benchmarks Supervision team. Learn more about notifications and providing information.

  7. Senior Managers and Certification Regime Banking Stocktake Report

    Multi-firm reviews Published: 05/08/2019 Last modified: 05/08/2019
    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.

  8. Impact assessment: PS18/15: Extending the senior managers and certification regime to insurers [PDF] [pdf]

    Impact assessments Published: 04/07/2019
    This impact assessment relates to PS18/15: Extending the senior managers and certification regime to insurers. It has been verified by the Regulatory Policy Committee.

  9. 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

  10. Senior Managers and Certification Regime: supervisory review

    Feedback statements Published: 28/09/2016 Last modified: 06/03/2017
    We are reporting the findings of our in-depth supervisory review of the Statements of Responsibilities (SoRs) and responsibilities maps supplied with grandfathering notifications for firms.
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