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Showing 161 to 170 of 527 search results for Senior Managers Regime applications.
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PS19/9: Applying the Senior Managers and Certification Regime to Claims Management Companies
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 -
Fair and effective markets review
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 -
Asset management: common errors when applying for authorisation
Avoid delays and increase your chances of being authorised to work in the UK asset management sector. -
Examining the future of anti-money laundering regulations
Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015 -
What can the consumer credit sector expect from the FCA?
Speech by Jonathan Davidson, Executive Director of Supervision – Retail and Authorisations, at the Credit Summit, London. -
REP008: Conduct Rules reporting for solo-regulated firms
Under the Senior Managers and Certification Regime (SM&CR), solo-regulated firms need to tell us whether disciplinary action has been taken against individuals, who aren't Senior Managers, for Conduct Rules breaches. -
Information on enforcement investigations opened against individuals (SMR) - May 2022
The FCA provides data on enforcement investigations opened against individuals (SMR). -
UK AIFM and NPPR fees
Find out about fees for authorised and registered Alternative Investment Fund Managers (AIFMs), and the National Private Placement Regime (NPPR). -
PS16/5: Strengthening accountability in banking and insurance: Implementation of SM&CR and SIMR, and PRA requirements on regulatory references [pdf]
This policy statement contains, among other things, the PRA and FCA final rules to implement the proposals for applying the Senior Insurance Managers Regime (SIMR) to Swiss general insurers. -
CP17 /41: Individual accountability: Transitioning insurers and individuals to the Senior Managers & Certification Regime [pdf]
We are consulting on how FSMA authorised firms and individuals will move to the Senior Managers and Certification Regime.