Search results
Showing 261 to 270 of 619 search results for under the Senior Managers Regime.
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CP17/26: Individual accountability - extending the Senior Managers and Certification Regime to insurers [pdf]
We are consulting on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms. -
CP17/25: Individual accountability - extending the Senior Managers and Certification Regime to all FCA firms [pdf]
We are consulting on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms. -
CP17/40: Individual accountability: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime [pdf]
We are consulting on how FSMA authorised firms and individuals will move to the Senior Managers and Certification Regime. -
FS16/6: Senior Managers and Certification Regime: Feedback for all UK banks, investment firms and building societies [pdf]
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. -
FS16/7: Senior Managers and Certification Regime: Feedback for branches of banks from outside the European Economic Area [pdf]
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. -
FS16/8: Senior Managers and Certification Regime: Feedback for branches of banks from within the European Economic Area [pdf]
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. -
Reviewing your resources
If you are a regulated firm, or wish to become regulated, you should review the level of resources required to operate your business effectively. -
AIFMD
The Alternative Investment Fund Managers Regulations (UK AIFMD) provide a regulatory framework for alternative investment fund managers (AIFMs). Find out about the requirements. -
National private placement regime (NPPR)
Find out more about the NPPR, including the different regulations, how to market under NPPR and reporting obligations. -
AIFM notifications
Full-scope UK Alternative Investment Fund Managers (AIFMs) must tell us of material changes to the conditions for initial authorisation. Find out about the different rules and what you must do.