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Showing 21 to 30 of 480 search results for principles of the Senior Managers Regime.

  1. CP17/40: Individual accountability: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime

    Consultation papers Published: 13/12/2017 Last modified: 22/02/2018
    CP17/40: Individual accountability: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime. ... deposit takers; the Senior Managers and Certification Regime is already in place for these firms.

  2. Milestone for insurers as they come under the Senior Managers and Certification Regime

    News stories Published: 10/12/2018 Last modified: 10/12/2018
    The Senior Managers and Certification Regime (SM&CR) has been extended to all insurers regulated by the Financial Conduct Authority (FCA) and Prudential Regulation Authority from today.

  3. Credit unions

    Tasks for firms Published: 11/05/2015 Last modified: 03/05/2024
    Find out how to get authorised and about other requirements for credit unions.

  4. How we are applying the principles of the SMR to the FCA [pdf]

    Corporate documents Published: 01/04/2016 Last modified: 10/11/2023
    We are applying the principles of the Senior Managers Regime to our own senior managers including members of our Board, Executive Committee and those carrying out Senior Management Functions.

  5. Information on the number of individuals who currently come under the Senior Managers Regime - May 2020

    FOI Release Date of Release: 22/05/2020
    FCA provides information on the number of individuals who currently come under the Senior Managers Regime.

  6. Banking leaders share their insights on adopting the Senior Managers and Certification Regime

    Press Releases Published: 07/02/2019 Last modified: 11/04/2024
    Watch senior leaders from four financial services firms talk about their experiences of adopting the Senior Managers and Certification Regime.

  7. Tackling the hard questions

    Speeches Published: 28/04/2016 Last modified: 02/07/2024
    Speech by Mark Steward, director of enforcement and market oversight, at the Thomson Reuters Annual Compliance and Risk Summit 2016.

  8. Information on number of enforcement investigations opened against individuals under the Senior Managers & Certification Regime - November 2020

    FOI Release Date of Release: 18/11/2020
    FCA provides information on number of enforcement investigations opened against individuals under the Senior Managers & Certification Regime.

  9. PS19/20: Optimising the Senior Managers & Certification Regime and feedback to CP19/4

    Policy statements Published: 26/07/2019 Last modified: 26/07/2019
    The Senior Managers & Certification Regime (SM&CR) was introduced for banking firms in 2016 and insurers in December 2018. It will apply to solo-regulated firms from December 2019.

  10. PS18/14: Extending the Senior Managers and Certification Regime to FCA firms – Feedback to CP17/25 and CP17/40, 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.