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Showing 51 to 60 of 178 search results for currently come under the Senior Managers Regime.
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Information on enforcement investigations into Senior Managers - May 2022
The FCA responds to multiple questions on enforcement investigations into Senior Managers. -
FCA sets out approach to Non-Executive Directors and the Senior Managers Regime
FCA sets out approach to Non-Executive Directors and the Senior Managers Regime. ... Non-Executive Directors (NEDs) with specific responsibilities, such as Chairman, will come under the new Senior Managers Regime (SMR), the Financial Conduct Authority -
The expanding scope of individual accountability for corporate misconduct
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement -
Transforming culture in financial services
Speech by Andrew Bailey, Chief Executive of the FCA, at the Transforming culture in financial services conference. -
FCA outlines proposals to extend the Senior Managers and Certification Regime to all financial services firms
In October 2015, HM Treasury announced its intention to extend the Senior Managers and Certification Regime (SM&CR) to all sectors of the financial services industry. -
FCA consults on how to extend the Senior Managers Regime to benchmark administrators
FCA consults on how to extend the Senior Managers Regime (SMR) to benchmark administrators -
Operational Resilience
We set out the requirements of our policy and how to report an operational disruption. -
SRO / TMPR fees and levies
We explain the fees that firms in the TPR and TMPR will need to pay. -
Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms
Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms -
The FCA’s role in preparing for Brexit
Further to the announcement from the Treasury on its approach to amending financial services legislation under the European Union (Withdrawal) Act, this statement provides stakeholders with an update on how we are preparing for the UK leaving the