Search results
Showing 31 to 40 of 527 search results for Senior Managers Regime applications.
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Information on the number of individuals who currently come under the Senior Managers Regime - May 2020
FCA provides information on the number of individuals who currently come under the Senior Managers Regime. -
Clarifying our supervisory intentions: overall responsibility for the legal function under the Senior Managers Regime
It has come to our attention that there is uncertainty as to whether an individual in charge of a firm’s legal function requires approval under our Senior Managers regime. This statement:describes our plans to consult on this area; and makes clear -
Rules that apply to firms in SRO and fund operators in the TMPR
We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR). -
PS19/20: Optimising the Senior Managers & Certification Regime and feedback to CP19/4
The Senior Managers & Certification Regime (SM&CR) was introduced for banking firms in 2016 and insurers in December 2018. It will apply to solo-regulated firms from December 2019. -
PS18/14: Extending the Senior Managers and Certification Regime to FCA firms – Feedback to CP17/25 and CP17/40, and near-final rules
We have published near-final rules on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms. -
Optimising the Senior Managers and Certification Regime: Policy Statement 19/20 and Feedback to CP 19/4
Today we publish final rules on the extension of the Senior Managers and Certification Regime (SM&CR) to FCA solo-regulated firms, including claims management companies. -
Approved Persons Regime
Approved persons carry out certain activities on a firm's behalf and must be regulated by us. Learn about our requirements, conduct rules and 'fit and proper' test. -
SM&CR categorisation for solo-regulated firms
Under SM&CR, solo-regulated firms are categorised as limited scope, core or enhanced. Find out which category your firm is in and how you can review this. -
Chief Executive speaks at APM about recent work and future challenges
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting. -
Event costs
Overall approximate costs for public events that we organise and publicise, from April 2013 onwards.