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Showing 11 to 20 of 711 search results for new Senior Managers Regime.

  1. DP23/3: Review of the Senior Managers and Certification Regime (SM&CR)

    Discussion papers Published: 30/03/2023 Last modified: 09/08/2023
    In this joint Discussion Paper (DP) with the PRA, we are seeking input on potential ways to improve the Senior Managers and Certification Regime (SM&CR).

  2. 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

  3. Tackling the hard questions

    Speeches Published: 28/04/2016 Last modified: 02/07/2024
    Speech by Mark Steward, director of enforcement and market oversight, at the Thomson Reuters Annual Compliance and Risk Summit 2016.

  4. Extension of the Senior Managers & Certification Regime (SM&CR) implementation periods for solo-regulated firms

    News stories Published: 30/06/2020 Last modified: 02/09/2020
    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.

  5. Information on the Senior Managers Certification Regime fines - April 2022

    FOI Release Date of Release: 22/04/2022
    The FCA provides information on how many fines were issued to Senior managers.

  6. FCA consults on how to extend the Senior Managers Regime to benchmark administrators

    Press Releases Published: 29/11/2019 Last modified: 11/04/2024
    FCA consults on how to extend the Senior Managers Regime (SMR) to benchmark administrators

  7. Banking leaders share their insights on adopting the Senior Managers and Certification Regime

    Press Releases Published: 07/02/2019 Last modified: 11/04/2024
    Watch senior leaders from four financial services firms talk about their experiences of adopting the Senior Managers and Certification Regime.

  8. FCA outlines proposals to extend the Senior Managers and Certification Regime to all financial services firms

    Press Releases Published: 26/07/2017 Last modified: 26/07/2017
    In October 2015, HM Treasury announced its intention to extend the Senior Managers and Certification Regime (SM&CR) to all sectors of the financial services industry.

  9. 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.

  10. CP16/1: Consequential changes to the Senior Managers Regime

    Consultation papers Published: 06/01/2016 Last modified: 02/03/2016
    CP16/1: Consequential changes to the Senior Managers Regime. Consultation papers First published:. ... CP16/1: Consequential changes to the Senior Managers Regime.