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Showing 151 to 160 of 417 search results for introduction of the senior managers regime.
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FS16/9: Senior Managers and Certification Regime: Feedback for Credit Unions [pdf]
We are reporting the findings of our in-depth supervisory review of the Statements of Responsibilities (SoRs) and responsibilities maps supplied with grandfathering notifications for firms. -
FG19/2: Senior Managers and Certification Regime: Guidance on statements of responsibilities and Responsibilities Maps for FCA firms [pdf]
This final guidance provides practical assistance and information to solo-regulated firms when preparing their Statements of Responsibilities and Responsibilities Maps. -
FCA statement on the publication of the FX Global Code
The FCA welcomes today’s publication of the FX Global Code. As we set out in our Mission, standards can be a useful way for the industry to police itself in support of our regulatory work and can help firms to communicate expectations of -
The Senior Managers and Certification Regime: Guide for insurers [pdf]
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Information on enforcement investigations into senior managers - May 2022
The FCA answers questions multiple questions on enforcement investigations into senior managers. -
Strengthening Accountability in Banking: Senior Managers & Certification Regime slides [pdf]
These slides provide additional information for firms on the regime. They summarise existing information and do not represent formal FCA Guidance. -
CP18/26: Claims management companies: how we propose to apply the Senior Managers and Certification Regime [pdf]
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. -
Recognised industry codes
Read about our process for recognising industry codes of conduct, which we describe as 'FCA-recognised industry codes'. -
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. -
Personal accountability
Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the City & Financial conference on Personal Accountability in the Financial Services Industry, 2 December 2015, London. This is the text of the speech as drafted, which may differ