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Showing 181 to 190 of 417 search results for introduction of the senior managers regime.
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Open enforcement investigations information - October 2020
FCA provides information on the number of open enforcement investigations. -
Information on enforcement investigations under SMR - June 2022
The FCA answers multiple questions on enforcement investigations under the Senior Managers and Certification Regime. -
Impact Assessment: Extending SM&CR to solo-regulated firms [pdf]
This impact assessment Extending the Senior Managers & Certification Regime to solo-regulated firms relates to CP17/25, CP17/40, PS18/14 and PS19/20 -
Directory of certified and assessed persons
Find out how you can prepare and amend your certified and assessed person submission, and why it's important to confirm your details. -
Applying conduct rules to all non-executive directors in the banking and insurance sectors: PS17/8
This Policy Statement (PS) introduces final rules to extend our Code of Conduct sourcebook (COCON) to standard non-executive directors (NEDs) in banks, building societies, credit unions and dual-regulated investment firms (‘banks’) and insurance -
Letter from the Chairman to the Chancellor on Senior Managers and Certificate Scheme: extension to foreign banks
1 Horse Guards Road. London. SW1A 2HQ. Thank you for your letter regarding the Senior Managers & Certificate Regime: extension to UK branches of foreign banks. ... expect, I welcome your intention to apply the Senior Managers & Certification Regime (“SM -
FCA seeks views on extending the implementation deadlines for the Certification Regime and Conduct Rules
The FCA has published a consultation paper on making changes to its rules following the extension to the deadline by which FCA solo-regulated firms need to have implemented the Certification Regime. -
PS16/5: Strengthening accountability in banking and insurance: implementation of SM&CR and SIMR, and PRA requirements on regulatory references
This policy statement contains, among other things, the PRA and FCA final rules to implement the proposals for applying the Senior Insurance Managers Regime (SIMR) to Swiss general insurers. ... In November 2015, the FCA and PRA consulted in a joint -
FCA confirms accountability rules for wholesale traders and interim rules on regulatory references
The Senior Managers Regime will ensure that senior managers can be held accountable for any misconduct that falls within their areas of responsibilities, the new certification regime and conduct rules aim ... the Senior Managers Regime focuses on -
The number of enforcement cases against Senior Managers under SMCR - April 2020
The FCA provides information on the number of enforcement cases against Senior Managers.