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Showing 101 to 110 of 250 search results for opened under the Senior Managers Regime.

  1. Financial Conduct Authority confirms approach to improving responsibility and accountability in the banking sector

    Press Releases Published: 16/03/2015 Last modified: 16/03/2015
    sets out how the FCA will implement the Senior Managers Regime (SMR); and. ... The new framework comprises two regimes, a ‘Senior Managers Regime’ and a ‘Certification Regime’, which aim to encourage individuals to take greater responsibility for

  2. Letter from the Chairman to the Chancellor on Senior Managers and Certificate Scheme: extension to foreign banks

    Statements Published: 12/06/2014 Last modified: 13/06/2014
    1 Horse Guards Road. London. SW1A 2HQ. Thank you for your letter regarding the Senior Managers & Certificate Regime: extension to UK branches of foreign banks. ... well as the business that an institution does, the responsibilities that its senior

  3. IFPR and eligibility for enhanced SM&CR status as a Significant SYSC firm

    Statements Published: 16/08/2022 Last modified: 16/08/2022
    The FCA clarify the definition of ’Significant SYSC firm’ and eligibility for Enhanced Status under the SM&CR regime

  4. FCA publishes final rules to make those in the banking sector more accountable

    Press Releases Published: 07/07/2015 Last modified: 19/04/2016
    The final rules cover the Senior Managers Regime; the Certification Regime; and new Conduct Rules. ... In particular:. The Senior Managers Regime focuses on individuals who hold key roles and responsibilities in relevant firms.

  5. Rolling regulation forwards

    Speeches Published: 16/11/2022 Last modified: 16/11/2022
    Speech by Nikhil Rathi, FCA Chief Executive delivered at the UK Finance annual dinner.

  6. CP17/40: Individual accountability: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime

    Consultation papers Published: 13/12/2017 Last modified: 22/02/2018
    CP17/40: Individual accountability: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime. ... deposit takers; the Senior Managers and Certification Regime is already in place for these firms.

  7. Best of British Conference

    Speeches Published: 14/11/2014 Last modified: 30/01/2015
    Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the Best of British Conference hosted by JP Morgan, London. This is the text of the speech as drafted, which may differ

  8. FCA launches enhanced Financial Services Register to protect consumers

    Press Releases Published: 27/07/2020 Last modified: 27/07/2020
    The FCA has today launched its updated Financial Services (FS) Register – including a simpler design and clearer language.

  9. Defined benefit pension transfers

    Tasks for firms Published: 16/06/2019 Last modified: 19/06/2023
    Read about the FCA's work in defined benefit (DB) transfers to date and the continued supervision in this area.

  10. SM&CR and coronavirus: our expectations for solo-regulated firms - December 2020 update

    Statements Published: 18/12/2020 Last modified: 18/12/2020
    In April 2020, we set out our expectations to help solo-regulated firms apply the SM&CR following the exceptional circumstances arising from the coronavirus pandemic (Covid-19). We offered some additional flexibility in the application of the SM&CR