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Showing 211 to 220 of 480 search results for principles of the Senior Managers Regime.
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Impact Assessment: Extending SM&CR to solo-regulated firms [pdf]
This impact assessment Extending the Senior Managers & Certification Regime to solo-regulated firms relates to CP17/25, CP17/40, PS18/14 and PS19/20 -
Strengthening accountability in banking and insurance: regulatory references final rules: PS16/22
We are publishing our final rules on regulatory references. -
Information on enforcement investigations under SMR - June 2022
The FCA answers multiple questions on enforcement investigations under the Senior Managers and Certification Regime. -
Knowledge Base
The Knowledge Base is our source of technical guidance on our Listing Rules, Prospectus Regulation Rules and Disclosure and Transparency Rules. -
Regulated covered bonds
Covered bonds are a type of secured bond usually backed by mortgages or public sector loans. Read about the UK regulated covered bonds regime. -
2014 fines
This table contains information about fines published during the calendar year ended December 2014. The total amount of fines is £1,471,431,800. -
Our gender and ethnicity pay gaps 2019
We report on our gender and ethnicity pay gaps. -
Applying conduct rules to all non-executive directors in the banking and insurance sectors: PS17/8
This Policy Statement (PS) introduces final rules to extend our Code of Conduct sourcebook (COCON) to standard non-executive directors (NEDs) in banks, building societies, credit unions and dual-regulated investment firms (‘banks’) and insurance -
FCA seeks views on extending the implementation deadlines for the Certification Regime and Conduct Rules
The FCA has published a consultation paper on making changes to its rules following the extension to the deadline by which FCA solo-regulated firms need to have implemented the Certification Regime. -
PS16/5: Strengthening accountability in banking and insurance: implementation of SM&CR and SIMR, and PRA requirements on regulatory references
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. ... In November 2015, the FCA and PRA consulted in a joint