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Showing 341 to 350 of 711 search results for new Senior Managers Regime.

  1. FG19/2: Senior Managers and Certification Regime: Guidance on statements of responsibilities and Responsibilities Maps for FCA firms [pdf]

    Finalised guidance Published: 08/03/2019
    This final guidance provides practical assistance and information to solo-regulated firms when preparing their Statements of Responsibilities and Responsibilities Maps.

  2. SM&CR: Form K user guide for Enhanced firms [pdf]

    Published: 11/10/2019
    Form K is the conversion notification form. It enables firms to tell us which approved individuals they wish to convert from the Approved Persons Regime (APR) to corresponding Senior Management Functions (SMFs) under the Senior Managers &

  3. CP18/26: Claims management companies: how we propose to apply the Senior Managers and Certification Regime [pdf]

    Consultation papers Published: 20/09/2018
    This Consultation Paper (CP) sets out the draft rules and guidance for CMCs relating to the SM&CR. The proposed rules would apply to CMCs serving customers in, or constituted under the laws of, England and Wales or Scotland.

  4. Transparency

    How we operate Published: 06/04/2016 Last modified: 20/12/2021
    The FCA sets out to be as open and accountable as possible, so it can be scrutinised by consumers, firms and Parliament. To do this the FCA publishes information about regulated firms and individuals, or it requires firms and individuals to do so.

  5. PS18/16: The Duty of Responsibility for insurers and FCA solo-regulated firms

    Policy statements Published: 13/12/2017 Last modified: 04/07/2018
    Firms should read the Policy Statement alongside the rules for how we will extend the Senior Managers and Certification Regime. ... We have also published Guides to the Senior Managers and Certification Regime for firms.

  6. The Senior Managers and Certification Regime: Guide for insurers [pdf]

    Policy statements Published: 04/07/2018 Last modified: 19/11/2018

  7. SM&CR: Form K user guide for Core Firms with a CF2 who require a non-executive chair (SMF9) [pdf]

    Published: 11/10/2019
    Form K is the conversion notification form. It enables firms to tell us which approved individuals they wish to convert from the Approved Persons Regime (APR) to corresponding Senior Management Functions (SMFs) under the Senior Managers &

  8. Extending the Senior Managers and Certification Regime: Cost-Benefit Analysis [pdf]

    Research insights Published: 04/07/2018

  9. AIFMD

    Focus areas Published: 08/06/2016 Last modified: 06/02/2023
    The Alternative Investment Fund Managers Regulations (UK AIFMD) provide a regulatory framework for alternative investment fund managers (AIFMs). Find out about the requirements.

  10. UK AIFM and NPPR fees

    Tasks for firms Published: 08/06/2016 Last modified: 05/07/2023
    Find out about fees for authorised and registered Alternative Investment Fund Managers (AIFMs), and the National Private Placement Regime (NPPR).