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Showing 201 to 210 of 527 search results for Senior Managers Regime applications.

  1. Registration: Connect

    Registers and systems Published: 04/05/2016 Last modified: 09/02/2023
    Find out how your firm can register on FCA Connect.

  2. PS16/22: Strengthening accountability in banking and insurance: regulatory references final rules [pdf]

    Policy statements Published: 28/09/2016
    We are publishing our final rules on regulatory references.

  3. Nothing to fear from high standards

    Speeches Published: 16/03/2015 Last modified: 03/11/2016
    Speech by Martin Wheatley, Chief Executive of the FCA, delivered at Bloomberg. This is the text of the speech as drafted, which may differ from the delivered version.

  4. FS16/9: Senior Managers and Certification Regime: Feedback for Credit Unions [pdf]

    Feedback statements Published: 28/09/2016
    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.

  5. FG19/2: Senior Managers and Certification Regime: Guidance on statements of responsibilities and Responsibilities Maps for FCA firms [pdf]

    Finalised guidance Published: 08/03/2019
    This final guidance provides practical assistance and information to solo-regulated firms when preparing their Statements of Responsibilities and Responsibilities Maps.

  6. CP15/5: Approach to non-executive directors in banking and Solvency II firms & Application of the presumption of responsibility to Senior Managers in banking firms [pdf]

    Consultation papers Published: 23/02/2015 Last modified: 14/09/2015

  7. CP18/26: Claims management companies: how we propose to apply the Senior Managers and Certification Regime [pdf]

    Consultation papers Published: 20/09/2018
    This Consultation Paper (CP) sets out the draft rules and guidance for CMCs relating to the SM&CR. The proposed rules would apply to CMCs serving customers in, or constituted under the laws of, England and Wales or Scotland.

  8. Brexit resources

    Focus areas Published: 09/03/2018 Last modified: 12/08/2022
    This page lists our news and statements, speeches, publications and other pages related to Brexit.

  9. Claims management companies

    Claims management companies Last modified: 13/03/2023
    On 1 April 2019 the FCA will become the regulator of claims management companies in England, Wales and Scotland. Find out more.

  10. The Senior Managers and Certification Regime: Guide for insurers [pdf]

    Policy statements Published: 04/07/2018 Last modified: 19/11/2018
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