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Showing 151 to 160 of 527 search results for Senior Managers Regime applications.

151. Information relating to Senior Manager applications 2016-2022 - March 2022

     FOI Release Date of Release: 04/03/2022
     The FCA provides data relating to Senior Manager applications and approvals.

152. CP17/41: Individual accountability: Transitioning insurers and individuals to the Senior Managers & Certification Regime

     Consultation papers Published: 13/12/2017 Last modified: 22/02/2018
     CP17/41: Individual accountability: Transitioning insurers and individuals to the Senior Managers & Certification Regime. ... 10/12/2018. 10/12/2018. Consultation papers First published:. 13/12/2017. Last updated: 22/02/2018. The Senior Managers and

153. FCA consults on how to extend the Senior Managers Regime to benchmark administrators

     Press Releases Published: 29/11/2019 Last modified: 11/04/2024
     FCA consults on how to extend the Senior Managers Regime (SMR) to benchmark administrators

154. Practical implications of US law on EU practice

     Speeches Published: 19/01/2017 Last modified: 20/01/2017
     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.

155. Extending the Senior Managers and Certification Regime: Cost-Benefit Analysis [pdf]

     Research insights Published: 26/07/2017

156. Statement from the Financial Conduct Authority following the announcement by HM Treasury of changes to the Senior Managers’ Regime

     Statements Published: 15/10/2015 Last modified: 15/10/2015
     Statement from the Financial Conduct Authority following the announcement by HM Treasury of changes to the Senior Managers’ Regime. ... The senior managers' and certification regime is intended to deliver better decisions to help avoid problems arising.

157. [pdf]

     Correspondence Published: 12/06/2014 Last modified: 05/09/2014

158. Transcript - Senior Managers and Certification Regime July 2018 video [pdf]

     Transcripts Published: 14/11/2019
     Transcript of 2018 video covering the key components of the SM&CR. Video here https://www.fca.org.uk/firms/senior-managers-certification-regime/insurers

159. Conduct risk in FX markets

     Speeches Published: 30/11/2016 Last modified: 30/11/2016
     Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe.

160. PS18/15: Extending the Senior Managers & Certification Regime to insurers – Feedback to CP17/26 and CP17/41 and near-final rules

     Policy statements Published: 26/07/2017 Last modified: 04/07/2018
     We have published near-final rules on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms.