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Showing 311 to 320 of 711 search results for new Senior Managers Regime.
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FCA and PRA investigations into HBOS senior managers
The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have decided to start investigations into certain former HBOS senior managers. -
REP008: Conduct Rules reporting for solo-regulated firms
Under the Senior Managers and Certification Regime (SM&CR), solo-regulated firms need to tell us whether disciplinary action has been taken against individuals, who aren't Senior Managers, for Conduct Rules breaches. -
Period to cover absent Senior Managers extended due to coronavirus (Covid-19)
The FCA has extended the maximum period firms can arrange cover for a senior manager without being approved, from 12 weeks to a maximum of 36 weeks, in a consecutive 12-month period. -
Updating and improving the UK regime for asset management: our priorities
Speech by Ashley Alder, Chair, delivered at the Investment Association’s Annual Dinner. -
PS16/5: Strengthening accountability in banking and insurance: Implementation of SM&CR and SIMR, and PRA requirements on regulatory references [pdf]
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. -
CP17 /41: Individual accountability: Transitioning insurers and individuals to the Senior Managers & Certification Regime [pdf]
We are consulting on how FSMA authorised firms and individuals will move to the Senior Managers and Certification Regime. -
PS16/6: Consequential Changes to the Senior Managers Regime [pdf]
In this Policy Statement we report on the main issues arising from Consultation Paper 16/1 Consequential Changes to the Senior Managers Regime and publish the final rules. -
How we are applying the principles of the SMR to the FCA [pdf]
We are applying the principles of the Senior Managers Regime to our own senior managers including members of our Board, Executive Committee and those carrying out Senior Management Functions. -
Overall responsibility and the legal function: DP16/4 [pdf]
We are launching a discussion to clarify how and why the legal function is currently captured under the Senior Managers and Certification Regime (SM&CR) and to consider whether it should continue to be part of the regime. -
CP15/37: Consequential amendments to the Senior Insurance Managers Regime (SIMR) [pdf]