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Showing 171 to 180 of 482 search results for senior insurance managers regime.

  1. Our ambitious agenda for UK asset management

    Speeches Published: 23/05/2024 Last modified: 28/06/2024
    Speech by Ashley Alder, FCA chair, at the Bloomberg Buy-side Forum.

  2. Examining the future of anti-money laundering regulations

    Speeches Published: 08/12/2015 Last modified: 16/08/2021
    Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015

  3. What can the consumer credit sector expect from the FCA?

    Speeches Published: 21/03/2019 Last modified: 21/03/2019
    Speech by Jonathan Davidson, Executive Director of Supervision – Retail and Authorisations, at the Credit Summit, London.

  4. REP008: Conduct Rules reporting for solo-regulated firms

    Tasks for regulated firms Published: 13/08/2020 Last modified: 09/02/2023
    Under the Senior Managers and Certification Regime (SM&CR), solo-regulated firms need to tell us whether disciplinary action has been taken against individuals, who aren't Senior Managers, for Conduct Rules breaches.

  5. CP17 /41: Individual accountability: Transitioning insurers and individuals to the Senior Managers & Certification Regime [pdf]

    Consultation papers Published: 13/12/2017
    We are consulting on how FSMA authorised firms and individuals will move to the Senior Managers and Certification Regime.

  6. PS16/6: Consequential Changes to the Senior Managers Regime [pdf]

    Policy statements Published: 02/03/2016 Last modified: 02/03/2016
    In this Policy Statement we report on the main issues arising from Consultation Paper 16/1 Consequential Changes to the Senior Managers Regime and publish the final rules.

  7. 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.

  8. Overall responsibility and the legal function: DP16/4 [pdf]

    Discussion papers Published: 03/10/2016
    We are launching a discussion 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.

  9. PS20/5: Extending the Senior Managers Regime to benchmark administrators: final rules [pdf]

    Policy statements Published: 02/06/2020
    In CP19/31, we set out proposals for extending the Senior Managers Regime (SMR) to benchmark administrators. This Policy Statement summarises feedback received and our response

  10. CP16/1: Consequential changes to the Senior Managers Regime [pdf]

    Consultation papers Published: 06/01/2016 Last modified: 23/02/2016
    This Consultation Paper (CP) sets out how we intend to implement the consequential changes to rules and forms that will be required prior to commencement of the regime. It also examines the impact that we believe they will have upon the industry and
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