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Showing 111 to 120 of 829 search results for senior managers regime.

111. Our investigations – the evolving approach

     Speeches Published: 15/06/2017 Last modified: 15/06/2017
     Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum.

112. Claims management companies

     Claims management companies Last modified: 13/03/2023
     On 1 April 2019 the FCA will become the regulator of claims management companies in England, Wales and Scotland. Find out more.

113. FS16/9: Senior Managers and Certification Regime: Feedback for Credit Unions [pdf]

     Feedback statements Published: 28/09/2016
     We are reporting the findings of our in-depth supervisory review of the Statements of Responsibilities (SoRs) and responsibilities maps supplied with grandfathering notifications for firms.

114. FG19/2: Senior Managers and Certification Regime: Guidance on statements of responsibilities and Responsibilities Maps for FCA firms [pdf]

     Finalised guidance Published: 08/03/2019
     This final guidance provides practical assistance and information to solo-regulated firms when preparing their Statements of Responsibilities and Responsibilities Maps.

115. CP18/26: Claims management companies: how we propose to apply the Senior Managers and Certification Regime [pdf]

     Consultation papers Published: 20/09/2018
     This Consultation Paper (CP) sets out the draft rules and guidance for CMCs relating to the SM&CR. The proposed rules would apply to CMCs serving customers in, or constituted under the laws of, England and Wales or Scotland.

116. Culture and governance

     Firms Tasks for firms Published: 12/05/2015 Last modified: 04/07/2024
     Read about the FCA's work on culture and governance, including details of how to get involved.

117. Transforming culture in financial services

     Speeches Published: 19/03/2018 Last modified: 19/03/2018
     Speech by Andrew Bailey, Chief Executive of the FCA, at the Transforming culture in financial services conference.

118. Debating trust and confidence in banking

     Speeches Published: 28/05/2015 Last modified: 28/05/2015
     Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the ResPublica Vocational Banking event in London. This is the text of the speech as drafted, which may differ from the delivered version.

119. Directory of certified and assessed persons

     Tasks for regulated firms Published: 04/09/2019 Last modified: 10/02/2023
     Find out how you can prepare and amend your certified and assessed person submission, and why it's important to confirm your details.

120. The Senior Managers and Certification Regime: Guide for insurers [pdf]

     Policy statements Published: 04/07/2018 Last modified: 19/11/2018