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Showing 281 to 290 of 619 search results for under the Senior Managers Regime.
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CP 19/31: Extending the Senior Managers Regime to Benchmark Administrators [pdf]
This consultation sets out our proposals for applying the SMR to benchmark administrators that do not carry out any other regulated activities. -
PS16/22: Strengthening accountability in banking and insurance: regulatory references final rules [pdf]
We are publishing our final rules on regulatory references. -
FS16/9: Senior Managers and Certification Regime: Feedback for Credit Unions [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. -
Recognised industry codes
Read about our process for recognising industry codes of conduct, which we describe as 'FCA-recognised industry codes'. -
FG19/2: Senior Managers and Certification Regime: Guidance on statements of responsibilities and Responsibilities Maps for FCA firms [pdf]
This final guidance provides practical assistance and information to solo-regulated firms when preparing their Statements of Responsibilities and Responsibilities Maps. -
FCA introduces new rules on whistleblowing
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 -
New accountability regime for banks and insurers comes into force
The Senior Managers Regime for the banking sector and the Senior Insurance Managers Regime both come into force today. ... As a subsidiary of the FCA, the Payment Systems Regulator (PSR), has also applied the Senior Managers Regime internally. -
The Senior Managers and Certification Regime: Guide for insurers [pdf]
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AIFMD updates
There are several updates the FCA has published on Alternative Investment Fund Managers Regulations. Find out about the FCA's updated guides and forms. -
Regulated covered bonds
Covered bonds are a type of secured bond usually backed by mortgages or public sector loans. Read about the UK regulated covered bonds regime.