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Showing 191 to 200 of 527 search results for Senior Managers Regime applications.

  1. Recognised industry codes

    About us How we regulate Published: 20/07/2018 Last modified: 19/11/2021
    Read about our process for recognising industry codes of conduct, which we describe as 'FCA-recognised industry codes'.

  2. PS19/20: Optimising the Senior Managers & Certification Regime and feedback to CP19/4 [pdf]

    Policy statements Published: 26/07/2019

  3. PS19/9: Applying the Senior Managers and Certification Regime to Claims Management Companies [pdf]

    Policy statements Published: 29/03/2019

  4. PS16/3: Strengthening accountability in banking: Feedback on CP15/22 and CP15/31; rules on extending the certification regime to wholesale market activities and interim rules on referencing [pdf]

    Policy statements Published: 04/02/2016 Last modified: 04/02/2016
    In this policy statement we set out final rules for the new accountability framework for individuals working in banks, building societies and credit unions who perform certain wholesale market activities.

  5. Transparency

    How we operate Published: 06/04/2016 Last modified: 20/12/2021
    The FCA sets out to be as open and accountable as possible, so it can be scrutinised by consumers, firms and Parliament. To do this the FCA publishes information about regulated firms and individuals, or it requires firms and individuals to do so.

  6. CP19/4: Optimising the Senior Managers & Certification Regime and feedback to DP16/4 – Overall responsibility and the legal function [pdf]

    Consultation papers Published: 23/01/2019

  7. GC18/4: Senior Managers and Certification Regime: Proposed guidance on statements of responsibilities and responsibilities maps for FCA firms [pdf]

    Guidance consultations Published: 11/10/2018

  8. PS18/14: Extending the Senior Managers & Certification Regime to FCA firms - Feedback to CP17/25 and CP17/40, and near-final rules [pdf]

    Policy statements Published: 04/07/2018

  9. PS18/15: Extending the Senior Managers & Certification Regime to insurers - Feedback to CP17/26 and CP17/41 and near-final rules [pdf]

    Policy statements Published: 04/07/2018

  10. CP 19/31: Extending the Senior Managers Regime to Benchmark Administrators [pdf]

    Consultation papers Published: 29/11/2019
    This consultation sets out our proposals for applying the SMR to benchmark administrators that do not carry out any other regulated activities.
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