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Showing 191 to 200 of 480 search results for principles of the Senior Managers Regime.
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Data on enforcement investigations, including into senior managers - June 2022
The FCA answers mutiple questions regarding enforcement investigations, including into Senior Managers. -
Firms
Tasks for regulated firms and authorisation information for new firms -
Event costs
Overall approximate costs for public events that we organise and publicise, from April 2013 onwards. -
FCA proposes new Directory of financial services workers
The Financial Conduct Authority (FCA) has today proposed a new Directory to help consumers and firms check the status and history of individuals working in financial services. -
Overall responsibility and the legal function: DP16/4
In September 2016, we launched Discussion Paper DP16/4 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. -
Statement: Strengthening Accountability in Banking
new Senior Managers and Certification Regime (SM&CR) will be 7 March 2016 and that transitional documentation will need to be submitted to the regulators by 8 February 2016. ... the accountability of bank senior management and to raise standards of -
Appointing intermediaries if you’re a funeral plan provider
Find out how to appoint intermediaries to distribute and sell your plans. -
Compliance, Culture and Evolving Regulatory Expectations
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight. -
Information on investigations into breaches of COCON - May 2022
The FCA provides data on how many investigations into breaches of COCON it has opened since the inception of the Conduct Rules under SMCR. -
Claims management companies
On 1 April 2019 the FCA will become the regulator of claims management companies in England, Wales and Scotland. Find out more.