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Showing 221 to 230 of 480 search results for principles of the Senior Managers Regime.
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Competition law
How the FCA uses competition law powers, including what this means for firms, and how to report competition law infringements. -
FCA confirms accountability rules for wholesale traders and interim rules on regulatory references
The Senior Managers Regime will ensure that senior managers can be held accountable for any misconduct that falls within their areas of responsibilities, the new certification regime and conduct rules aim ... the Senior Managers Regime focuses on -
The number of enforcement cases against Senior Managers under SMCR - April 2020
The FCA provides information on the number of enforcement cases against Senior Managers. -
CP15/31: Strengthening accountability in banking and insurance: regulatory references
Senior management functions under the Senior Managers Regime (SMR). Significant harm functions under the Certification Regime (CR). ... PRA senior insurance management functions under the Senior Insurance Managers Regime (SIMR). -
Approved Persons Regime (APR) and coronavirus: our expectations
We set out our expectations to help benchmark administrators and firms using Appointed Representative (AR) arrangements apply the Approved Persons Regime (APR) during coronavirus (Covid-19). -
Financial Conduct Authority confirms approach to improving responsibility and accountability in the banking sector
sets out how the FCA will implement the Senior Managers Regime (SMR); and. ... The new framework comprises two regimes, a ‘Senior Managers Regime’ and a ‘Certification Regime’, which aim to encourage individuals to take greater responsibility for -
FCA publishes final rules to make those in the banking sector more accountable
The final rules cover the Senior Managers Regime; the Certification Regime; and new Conduct Rules. ... In particular:. The Senior Managers Regime focuses on individuals who hold key roles and responsibilities in relevant firms. -
Information on financial services partnerships - November 2022
FCA provides information on financial services partnerships. -
Regimes for EEA firms and investment funds that passported into the UK
EEA-based firms and investment funds can no longer passport into the UK. Find out about the regimes that help those firms operate or wind down their business. -
FCA launches enhanced Financial Services Register to protect consumers
The FCA has today launched its updated Financial Services (FS) Register – including a simpler design and clearer language.