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Showing 181 to 190 of 480 search results for principles of the Senior Managers Regime.

  1. CP 19/31: Extending the Senior Managers Regime to Benchmark Administrators [pdf]

    Consultation papers Published: 29/11/2019
    This consultation sets out our proposals for applying the SMR to benchmark administrators that do not carry out any other regulated activities.

  2. FS16/9: Senior Managers and Certification Regime: Feedback for Credit Unions [pdf]

    Feedback statements Published: 28/09/2016
    We are reporting the findings of our in-depth supervisory review of the Statements of Responsibilities (SoRs) and responsibilities maps supplied with grandfathering notifications for firms.

  3. 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.

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

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

  5. 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.

  6. Strengthening Accountability in Banking: Senior Managers & Certification Regime slides [pdf]

    Documents Published: 06/10/2015 Last modified: 03/08/2016
    These slides provide additional information for firms on the regime. They summarise existing information and do not represent formal FCA Guidance.

  7. Information on enforcement investigations into senior managers - May 2022

    FOI Release Date of Release: 27/05/2022
    The FCA answers questions multiple questions on enforcement investigations into senior managers.

  8. Recognised industry codes

    About us How we regulate Published: 20/07/2018 Last modified: 19/11/2021
    Read about our process for recognising industry codes of conduct, which we describe as 'FCA-recognised industry codes'.

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

    Research insights Published: 04/07/2018

  10. Culture and conduct - extending the accountability regime

    Speeches Published: 20/09/2017 Last modified: 20/09/2017
    Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at City and Financial Summit, London.