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Showing 141 to 150 of 480 search results for principles of the Senior Managers Regime.

  1. PS18/15: Extending the Senior Managers & Certification Regime to insurers – Feedback to CP17/26 and CP17/41 and near-final rules

    Policy statements Published: 26/07/2017 Last modified: 04/07/2018
    We have published near-final rules on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms.

  2. PS19/9: Applying the Senior Managers and Certification Regime to Claims Management Companies

    Policy statements Published: 20/09/2018 Last modified: 29/03/2019
    This Policy Statement outlines how we will apply our Senior Managers and Certification Regime (SM&CR) to claims management companies (CMCs) and their staff. The regime aims to strengthen individual accountability in the firms we regulate and raise

  3. [pdf]

    Correspondence Published: 12/06/2014 Last modified: 05/09/2014

  4. Transcript - Senior Managers and Certification Regime July 2018 video [pdf]

    Transcripts Published: 14/11/2019
    Transcript of 2018 video covering the key components of the SM&CR. Video here https://www.fca.org.uk/firms/senior-managers-certification-regime/insurers

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

    Research insights Published: 26/07/2017

  6. Information on the number of Senior Managers Regime applications in 2019/20 broken down by title on application - June 2020

    FOI Release Date of Release: 16/06/2020
    FCA provides information on the number of Senior Managers Regime applications in 2019/20 broken down by title.

  7. Practical implications of US law on EU practice

    Speeches Published: 19/01/2017 Last modified: 20/01/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Practising Law Institute’s annual seminar on securities regulation in Europe.

  8. Information on enforcement investigations opened against individuals (SMR) - May 2022

    FOI Release Date of Release: 11/05/2022
    The FCA provides data on enforcement investigations opened against individuals (SMR).

  9. Conduct risk in FX markets

    Speeches Published: 30/11/2016 Last modified: 30/11/2016
    Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe.

  10. What can the consumer credit sector expect from the FCA?

    Speeches Published: 21/03/2019 Last modified: 21/03/2019
    Speech by Jonathan Davidson, Executive Director of Supervision – Retail and Authorisations, at the Credit Summit, London.