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Showing 171 to 180 of 480 search results for principles of the Senior Managers Regime.

  1. Guidance on the duty of responsibility: PS17/9

    Policy statements Published: 28/09/2016 Last modified: 03/05/2017
    In this Policy Statement, we set out guidance in the Decision Procedure and Penalties Manual (DEPP) on how we will enforce the ‘duty of responsibility’.

  2. PS16/3: Strengthening accountability in banking: Feedback on CP15/22 and CP15/31; rules on extending the certification regime to wholesale market activities and interim rules on referencing [pdf]

    Policy statements Published: 04/02/2016 Last modified: 04/02/2016
    In this policy statement we set out final rules for the new accountability framework for individuals working in banks, building societies and credit unions who perform certain wholesale market activities.

  3. PS19/20: Optimising the Senior Managers & Certification Regime and feedback to CP19/4 [pdf]

    Policy statements Published: 26/07/2019

  4. PS19/9: Applying the Senior Managers and Certification Regime to Claims Management Companies [pdf]

    Policy statements Published: 29/03/2019

  5. FCA introduces new rules on whistleblowing

    Press Releases Published: 06/10/2015 Last modified: 19/04/2016
    The Accountability Regime in relevant authorised persons. The Senior Managers Regime focuses on individuals who hold key roles and responsibilities in relevant firms. ... Individuals subject to either the Senior Managers Regime or the Certification

  6. CP19/4: Optimising the Senior Managers & Certification Regime and feedback to DP16/4 – Overall responsibility and the legal function [pdf]

    Consultation papers Published: 23/01/2019

  7. GC18/4: Senior Managers and Certification Regime: Proposed guidance on statements of responsibilities and responsibilities maps for FCA firms [pdf]

    Guidance consultations Published: 11/10/2018

  8. PS18/14: Extending the Senior Managers & Certification Regime to FCA firms - Feedback to CP17/25 and CP17/40, and near-final rules [pdf]

    Policy statements Published: 04/07/2018

  9. PS18/15: Extending the Senior Managers & Certification Regime to insurers - Feedback to CP17/26 and CP17/41 and near-final rules [pdf]

    Policy statements Published: 04/07/2018

  10. PS16/22: Strengthening accountability in banking and insurance: regulatory references final rules [pdf]

    Policy statements Published: 28/09/2016
    We are publishing our final rules on regulatory references.