Search results
Showing 331 to 340 of 711 search results for new Senior Managers Regime.
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PS19/20: Optimising the Senior Managers & Certification Regime and feedback to CP19/4 [pdf]
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PS19/9: Applying the Senior Managers and Certification Regime to Claims Management Companies [pdf]
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CP19/4: Optimising the Senior Managers & Certification Regime and feedback to DP16/4 – Overall responsibility and the legal function [pdf]
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GC18/4: Senior Managers and Certification Regime: Proposed guidance on statements of responsibilities and responsibilities maps for FCA firms [pdf]
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PS18/15: Extending the Senior Managers & Certification Regime to insurers - Feedback to CP17/26 and CP17/41 and near-final rules [pdf]
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PS18/14: Extending the Senior Managers & Certification Regime to FCA firms - Feedback to CP17/25 and CP17/40, and near-final rules [pdf]
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CP 19/31: Extending the Senior Managers Regime to Benchmark Administrators [pdf]
This consultation sets out our proposals for applying the SMR to benchmark administrators that do not carry out any other regulated activities. -
Recognised industry codes
Read about our process for recognising industry codes of conduct, which we describe as 'FCA-recognised industry codes'. -
PS16/22: Strengthening accountability in banking and insurance: regulatory references final rules [pdf]
We are publishing our final rules on regulatory references. -
FS16/9: Senior Managers and Certification Regime: Feedback for Credit Unions [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.