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Showing 241 to 250 of 619 search results for under the Senior Managers Regime.

  1. Regulated financial advice firms and individuals that attempt to avoid their redress liabilities

    Tasks for regulated firms Published: 14/12/2018 Last modified: 13/02/2023
    The FCA provides information to regulated financial advice firms

  2. Investing in outcomes: a regulatory approach to deliver for consumers, markets and competitiveness

    Speeches Published: 14/03/2024 Last modified: 14/03/2024
    Speech by Nikhil Rathi, FCA Chief Executive delivered at the Morgan Stanley European Financials Conference.

  3. What firms and customers can expect from the consumer duty and other regulatory reforms

    Speeches Published: 29/09/2022 Last modified: 29/09/2022
    Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at City and Financial Global.

  4. General insurance product value and coronavirus (Covid-19) Guidance – update

    Studies and reviews Multi-firm reviews Published: 25/08/2021 Last modified: 25/08/2021
    We set out the findings from our multi-firm review assessing how firms have responded to our general insurance (GI) distribution chain Guidance (further to the product governance rules implemented by the IDD) and coronavirus (Covid-19) value Guidance

  5. Senior Managers and Certification Regime: supervisory review

    Feedback statements Published: 28/09/2016 Last modified: 06/03/2017
    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.

  6. CP15/37: Consequential amendments to the Senior Insurance Managers Regime (SIMR)

    Consultation papers Published: 11/11/2015 Last modified: 11/11/2015
    CP15/37: Consequential amendments to the Senior Insurance Managers Regime (SIMR). Consultation papers First published:. ... PRA: Consequential amendments to the Senior Managers Regime (SMR) and the Senior Insurance Managers Regime (SIMR).

  7. CP17/41: Individual accountability: Transitioning insurers and individuals to the Senior Managers & Certification Regime

    Consultation papers Published: 13/12/2017 Last modified: 22/02/2018
    CP17/41: Individual accountability: Transitioning insurers and individuals to the Senior Managers & Certification Regime. ... 10/12/2018. 10/12/2018. Consultation papers First published:. 13/12/2017. Last updated: 22/02/2018. The Senior Managers and

  8. Impact assessment: PS18/15: Extending the senior managers and certification regime to insurers [PDF] [pdf]

    Impact assessments Published: 04/07/2019
    This impact assessment relates to PS18/15: Extending the senior managers and certification regime to insurers. It has been verified by the Regulatory Policy Committee.

  9. Statement from the Financial Conduct Authority following the announcement by HM Treasury of changes to the Senior Managers’ Regime

    Statements Published: 15/10/2015 Last modified: 15/10/2015
    Statement from the Financial Conduct Authority following the announcement by HM Treasury of changes to the Senior Managers’ Regime. ... The senior managers' and certification regime is intended to deliver better decisions to help avoid problems arising.

  10. Extending the Senior Managers and Certification Regime: Cost-Benefit Analysis [pdf]

    Research insights Published: 26/07/2017
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