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Showing 321 to 330 of 711 search results for new Senior Managers Regime.
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PS20/5: Extending the Senior Managers Regime to benchmark administrators: final rules [pdf]
In CP19/31, we set out proposals for extending the Senior Managers Regime (SMR) to benchmark administrators. This Policy Statement summarises feedback received and our response -
CP17/26: Individual accountability - extending the Senior Managers and Certification Regime to insurers [pdf]
We are consulting on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms. -
CP16/1: Consequential changes to the Senior Managers Regime [pdf]
This Consultation Paper (CP) sets out how we intend to implement the consequential changes to rules and forms that will be required prior to commencement of the regime. It also examines the impact that we believe they will have upon the industry and -
CP17/25: Individual accountability - extending the Senior Managers and Certification Regime to all FCA firms [pdf]
We are consulting on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms. -
CP17/40: Individual accountability: Transitioning FCA firms 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. -
FS16/6: Senior Managers and Certification Regime: Feedback for all UK banks, investment firms and building societies [pdf]
We are reporting the findings of our in-depth supervisory review of the Statements of Responsibilities (SoRs) and responsibilities maps supplied with grandfathering notifications for firms. -
FS16/7: Senior Managers and Certification Regime: Feedback for branches of banks from outside the European Economic Area [pdf]
We are reporting the findings of our in-depth supervisory review of the Statements of Responsibilities (SoRs) and responsibilities maps supplied with grandfathering notifications for firms. -
FS16/8: Senior Managers and Certification Regime: Feedback for branches of banks from within the European Economic Area [pdf]
We are reporting the findings of our in-depth supervisory review of the Statements of Responsibilities (SoRs) and responsibilities maps supplied with grandfathering notifications for firms. -
Reviewing your resources
If you are a regulated firm, or wish to become regulated, you should review the level of resources required to operate your business effectively. -
Asset management: common errors when applying for authorisation
Avoid delays and increase your chances of being authorised to work in the UK asset management sector.