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Showing 151 to 160 of 480 search results for principles of the Senior Managers Regime.
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REP008: Conduct Rules reporting for solo-regulated firms
Under the Senior Managers and Certification Regime (SM&CR), solo-regulated firms need to tell us whether disciplinary action has been taken against individuals, who aren't Senior Managers, for Conduct Rules breaches. -
Examining the future of anti-money laundering regulations
Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015 -
PS16/5: Strengthening accountability in banking and insurance: Implementation of SM&CR and SIMR, and PRA requirements on regulatory references [pdf]
This policy statement contains, among other things, the PRA and FCA final rules to implement the proposals for applying the Senior Insurance Managers Regime (SIMR) to Swiss general insurers. -
CP17 /41: Individual accountability: Transitioning insurers 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. -
PS16/6: Consequential Changes to the Senior Managers Regime [pdf]
In this Policy Statement we report on the main issues arising from Consultation Paper 16/1 Consequential Changes to the Senior Managers Regime and publish the final rules. -
Overall responsibility and the legal function: DP16/4 [pdf]
We are launching a discussion to clarify how and why the legal function is currently captured under the Senior Managers and Certification Regime (SM&CR) and to consider whether it should continue to be part of the regime. -
CP15/37: Consequential amendments to the Senior Insurance Managers Regime (SIMR) [pdf]
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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 -
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 -
CP17/26: 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.