Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 121 to 130 of 711 search results for new Senior Managers Regime.

  1. Information on first names within the Senior Managements Function - August 2021

    FOI Release Date of Release: 02/08/2021
    The FCA provides information on the 50 most common forenames within the Senior Managements Function.

  2. Regulatory Sandbox

    Firms Published: 27/03/2022 Last modified: 09/05/2024
    The Regulatory Sandbox is for firms wanting to test new products live in the market with real consumers. Find out more about it and how to apply.

  3. The Importance of Diversity

    Speeches Published: 05/02/2019 Last modified: 08/02/2019
    Speech by Andrew Bailey, Chief Executive of the FCA, at the PIMFA Wealth of Diversity Conference 2019.

  4. Applying conduct rules to all non-executive directors in the banking and insurance sectors: PS17/8

    Policy statements Published: 28/09/2016 Last modified: 03/05/2017
    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

  5. Authorisation and registration application fees

    Firm authorisation Published: 07/08/2017 Last modified: 15/07/2024
    Find out how much your firm’s application fee will be to become authorised by us, or registered with us.

  6. Consumer Duty – information for firms

    Tasks for firms Published: 02/10/2022 Last modified: 26/06/2024
    To help firms implement the Duty, we explain more on the areas of the Duty that we have been receiving firm queries on which are relevant for the wider market.

  7. Information on nonfinancial misconduct and SMCR investigations - June 2022

    FOI Release Date of Release: 14/06/2022
    The FCA provides data on nonfinancial misconduct and SMCR investigations.

  8. CP15/31: Strengthening accountability in banking and insurance: regulatory references

    Consultation papers Published: 06/10/2015 Last modified: 08/12/2015
    Senior management functions under the Senior Managers Regime (SMR). Significant harm functions under the Certification Regime (CR). ... PRA senior insurance management functions under the Senior Insurance Managers Regime (SIMR).

  9. Leading the Way on Regulation

    Speeches Published: 16/05/2019 Last modified: 17/05/2019
    Speech delivered by Karina McTeague, Director of General Insurance and Conduct Specialists Supervision, at the British Insurance Brokers' Association (BIBA) Conference 2019.  

  10. PS16/5: Strengthening accountability in banking and insurance: implementation of SM&CR and SIMR, and PRA requirements on regulatory references

    Policy statements Published: 15/02/2016 Last modified: 26/05/2016
    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