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Showing 91 to 100 of 829 search results for senior managers regime.

91. CP15/37: Consequential amendments to the Senior Insurance Managers Regime (SIMR) [pdf]

    Consultation papers Published: 11/11/2015 Last modified: 11/11/2015

92. FCA introduces new rules on whistleblowing

    Press Releases Published: 06/10/2015 Last modified: 19/04/2016
    The Accountability Regime in relevant authorised persons. The Senior Managers Regime focuses on individuals who hold key roles and responsibilities in relevant firms. ... Individuals subject to either the Senior Managers Regime or the Certification

93. CP17/26: Individual accountability - extending the Senior Managers and Certification Regime to insurers [pdf]

    Consultation papers Published: 26/07/2017
    We are consulting on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms.

94. CP17/40: Individual accountability: Transitioning FCA firms 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.

95. CP17/25: Individual accountability - extending the Senior Managers and Certification Regime to all FCA firms [pdf]

    Consultation papers Published: 26/07/2017
    We are consulting on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms.

96. Firms

    Firms Last modified: 27/07/2022
    Tasks for regulated firms and authorisation information for new firms

97. SM&CR and coronavirus: our expectations for solo-regulated firms - December 2020 update

    Statements Published: 18/12/2020 Last modified: 18/12/2020
    In April 2020, we set out our expectations to help solo-regulated firms apply the SM&CR following the exceptional circumstances arising from the coronavirus pandemic (Covid-19). We offered some additional flexibility in the application of the SM&CR

98. 2016 Disclosure Log

    Last modified: 30/01/2020
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2016. 

99. CP15/31: Strengthening accountability in banking and insurance: regulatory references

    Consultation papers Published: 06/10/2015 Last modified: 08/12/2015
    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).

100. Approved Persons Regime

     Tasks for firms Published: 12/05/2015 Last modified: 27/04/2023
     Approved persons carry out certain activities on a firm's behalf and must be regulated by us. Learn about our requirements, conduct rules and 'fit and proper' test.