Publications
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CRD IV: Competent authority disclosure - supervisory review and evaluation process (SREP) (Annex 3) [xls]
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CRD IV: Competent authority disclosure - options and discretions (Annex 2) [xls]
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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. -
CP17/26: 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. -
Response to the Complaints Commissioner’s report FCA00127 [pdf]
We have considered the final report of the Complaints Commissioner on complaint FCA00127. -
Response to the Complaints Commissioner’s report FCA00161 [pdf]
We have considered the final report of the Complaints Commissioner on complaint FCA00161. -
Extending the Senior Managers and Certification Regime: Cost-Benefit Analysis [pdf]
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PS18/15: Extending the Senior Managers & Certification Regime to insurers – Feedback to CP17/26 and CP17/41 and near-final rules
We have published near-final rules on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms. -
PS18/14: Extending the Senior Managers and Certification Regime to FCA firms – Feedback to CP17/25 and CP17/40, and near-final rules
We have published near-final rules on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms. -
PS17/18: CASS 7A and the special administration regime review [pdf]
This Policy Statement summarises the feedback we received to our consultation on aspects of the client assets regime, in particular regarding the client money distribution rules and their interaction with the special administration regime.