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Showing 141 to 150 of 417 search results for introduction of the senior managers regime.
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FCA introduces new rules on whistleblowing
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 -
PS16/3: Strengthening accountability in banking: Feedback on CP15/22 and CP15/31; rules on extending the certification regime to wholesale market activities and interim rules on referencing [pdf]
In this policy statement we set out final rules for the new accountability framework for individuals working in banks, building societies and credit unions who perform certain wholesale market activities. -
PS19/20: Optimising the Senior Managers & Certification Regime and feedback to CP19/4 [pdf]
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PS19/9: Applying the Senior Managers and Certification Regime to Claims Management Companies [pdf]
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CP19/4: Optimising the Senior Managers & Certification Regime and feedback to DP16/4 – Overall responsibility and the legal function [pdf]
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GC18/4: Senior Managers and Certification Regime: Proposed guidance on statements of responsibilities and responsibilities maps for FCA firms [pdf]
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PS18/14: Extending the Senior Managers & Certification Regime to FCA firms - Feedback to CP17/25 and CP17/40, and near-final rules [pdf]
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PS18/15: Extending the Senior Managers & Certification Regime to insurers - Feedback to CP17/26 and CP17/41 and near-final rules [pdf]
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PS16/22: Strengthening accountability in banking and insurance: regulatory references final rules [pdf]
We are publishing our final rules on regulatory references. -
CP 19/31: Extending the Senior Managers Regime to Benchmark Administrators [pdf]
This consultation sets out our proposals for applying the SMR to benchmark administrators that do not carry out any other regulated activities.