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Showing 131 to 140 of 366 search results for function under the Senior Managers Regime.

131. Statistics provided on the Senior managers' Regime - January 2020

     FOI Release Date of Release: 03/01/2020
     FCA Provides Statistics of Individuals under the scope of Senior Managers and Certification Regime.

132. Senior Managers and Certification Regime: one year on

     News stories Published: 07/03/2017 Last modified: 20/03/2024
     The FCA marks one year since we introduced of the Senior Managers and Certification Regime.

133. 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.

134. FCA introduces new rules on whistleblowing

     Press Releases Published: 06/10/2015 Last modified: 19/04/2016
     The Accountability Regime in relevant authorised persons. The Senior Managers Regime focuses on individuals who hold key roles and responsibilities in relevant firms. ... Individuals subject to either the Senior Managers Regime or the Certification

135. AIFMD updates

     Focus areas Published: 08/06/2016 Last modified: 05/07/2023
     There are several updates the FCA has published on Alternative Investment Fund Managers Regulations. Find out about the FCA's updated guides and forms.

136. Information on Senior Manager Regime applications - April 2022

     FOI Release Date of Release: 05/04/2022
     The FCA answers multiple questions on Senior Managers Regime applications.

137. PS16/6: Consequential Changes to the Senior Managers Regime

     Policy statements Published: 02/03/2016 Last modified: 26/05/2016
     PS16/6: Consequential Changes to the Senior Managers Regime. Policy statements First published:. ... In this Policy Statement we report on the main issues arising from Consultation Paper 16/1 Consequential Changes to the Senior Managers Regime and

138. PS18/16: The Duty of Responsibility for insurers and FCA solo-regulated firms

     Policy statements Published: 13/12/2017 Last modified: 04/07/2018
     Under the Duty of Responsibility, we can take enforcement action against Senior Managers if:. ... We have also published Guides to the Senior Managers and Certification Regime for firms.

139. Benchmarks supervision

     Markets Published: 22/04/2016 Last modified: 14/12/2022
     Benchmark administrators and supervised contributors are overseen by the Benchmarks Supervision team. Learn more about notifications and providing information.

140. Regulated covered bonds

     Firms Regulated markets Published: 13/05/2016 Last modified: 08/02/2023
     Covered bonds are a type of secured bond usually backed by mortgages or public sector loans. Read about the UK regulated covered bonds regime.