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Showing 11 to 20 of 417 search results for introduction of the senior managers regime.
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Senior Managers and Certification Regime: Finalising FCA rules
We have been working closely with HM Treasury on preparation of the Commencement Order needed to enable the FCA to publish final rules on the extension of the Senior Managers and Certification Regime (SM&CR). -
FCA extends the Senior Managers and Certification Regime to 47,000 firms
FCA extends the Senior Managers and Certification Regime to 47,000 firms -
Information on investigations opened under the Senior Managers' Regime - June 2022
The FCA provides information on investigations opened under the Senior Managers' Regime. -
CP16/1: Consequential changes to the Senior Managers Regime
CP16/1: Consequential changes to the Senior Managers Regime. Consultation papers First published:. ... CP16/1: Consequential changes to the Senior Managers Regime. -
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 -
FCA consults on how firms and individuals will transition to the Senior Managers and Certification Regime
The Financial Conduct Authority (FCA) has today published a package of proposals on how firms and individuals will move to the Senior Managers and Certification Regime. The aim of the new regime is to make individuals more accountable for their -
Enforcement investigations and the Senior Managers Regime information - October 2020
FCA provides information on Enforcement investigations and the Senior Managers Regime. -
What can the consumer credit sector expect from the FCA?
Speech by Jonathan Davidson, Executive Director of Supervision – Retail and Authorisations, at the Credit Summit, London. -
Examining the future of anti-money laundering regulations
Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015 -
Extension of the Senior Managers & Certification Regime (SM&CR) implementation periods for solo-regulated firms
The deadline for solo-regulated firms to have undertaken the first assessment of the fitness and propriety of their Certified Persons has been delayed from 9 December 2020 until 31 March 2021.