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Showing 21 to 30 of 711 search results for new Senior Managers Regime.

  1. Statement from the Financial Conduct Authority following the announcement by HM Treasury of changes to the Senior Managers’ Regime

    Statements Published: 15/10/2015 Last modified: 15/10/2015
    Statement from the Financial Conduct Authority following the announcement by HM Treasury of changes to the Senior Managers’ Regime. ... The senior managers' and certification regime is intended to deliver better decisions to help avoid problems arising.

  2. Optimising the Senior Managers and Certification Regime: Policy Statement 19/20 and Feedback to CP 19/4

    News stories Published: 26/07/2019 Last modified: 26/07/2019
    Today we publish final rules on the extension of the Senior Managers and Certification Regime (SM&CR) to FCA solo-regulated firms, including claims management companies.

  3. Information on investigations opened under the Senior Managers' Regime - June 2022

    FOI Release Date of Release: 22/06/2022
    The FCA provides information on investigations opened under the Senior Managers' Regime.

  4. Senior Managers and Certification Regime Banking Stocktake Report

    Multi-firm reviews Published: 05/08/2019 Last modified: 05/08/2019
    The findings of our review into the embedding of the Senior Managers and Certification Regime (SM&CR) in the banking sector. The SM&CR was introduced for deposit-taking firms and dual-regulated investment firms (the banking sector) in March 2016.

  5. Practical implications of US law on EU practice

    Speeches Published: 19/01/2017 Last modified: 20/01/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe.

  6. Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms

    Statements Published: 03/04/2020 Last modified: 22/09/2022
    Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms

  7. CP17/41: Individual accountability: Transitioning insurers and individuals to the Senior Managers & Certification Regime

    Consultation papers Published: 13/12/2017 Last modified: 22/02/2018
    CP17/41: Individual accountability: Transitioning insurers and individuals to the Senior Managers & Certification Regime. ... This consultation paper sets out how we propose to move firms and their senior staff overto the new regime.

  8. Clarifying our supervisory intentions: overall responsibility for the legal function under the Senior Managers Regime

    Statements Published: 27/01/2016 Last modified: 26/05/2016
    It has come to our attention that there is uncertainty as to whether an individual in charge of a firm’s legal function requires approval under our Senior Managers regime. This statement:describes our plans to consult on this area; and makes clear

  9. Enforcement investigations and the Senior Managers Regime information - October 2020

    FOI Release Date of Release: 05/10/2020
    FCA provides information on Enforcement investigations and the Senior Managers Regime.

  10. Benchmarks supervision

    Markets Published: 22/04/2016 Last modified: 14/12/2022
    Benchmark administrators and supervised contributors are overseen by the Benchmarks Supervision team. Learn more about notifications and providing information.