Showing 11 to 20 of 570 search results for senior insurance managers regime.

11. Information on the Senior Managers Certification Regime fines - April 2022

    FOI releases

    Published: 22/04/2022

    Last modified: 25/10/2022

    The FCA provides information on how many fines were issued to Senior managers.

12. DP23/3: Review of the Senior Managers and Certification Regime (SM&CR)

    Discussion papers

    Published: 30/03/2023

    Last modified: 09/08/2023

    In this joint Discussion Paper (DP) with the PRA, we are seeking input on potential ways to improve the Senior Managers and Certification Regime (SM&CR).

13. Information on number of enforcement investigations opened against individuals under the Senior Managers & Certification Regime - November 2020

    FOI releases

    Published: 18/11/2020

    Last modified: 25/10/2022

    FCA provides information on number of enforcement investigations opened against individuals under the Senior Managers & Certification Regime.

14. FCA extends the Senior Managers and Certification Regime to 47,000 firms

    News stories

    Published: 09/12/2019

    Last modified: 09/12/2019

    FCA extends the Senior Managers and Certification Regime to 47,000 firms

15. Extension of the Senior Managers & Certification Regime (SM&CR) implementation periods for solo-regulated firms

    News stories

    Published: 30/06/2020

    Last modified: 02/09/2020

    The deadline for solo-regulated firms to have undertaken the first assessment of the fitness and propriety of their Certified Persons has been delayed from 9 December 2020 until 31 March 2021.

16. Information on enforcement investigations opened against individuals (SMR) - May 2022

    FOI releases

    Published: 11/05/2022

    Last modified: 25/10/2022

    The FCA provides data on enforcement investigations opened against individuals (SMR).

17. Information on investigations opened under the Senior Managers' Regime - June 2022

    FOI releases

    Published: 22/06/2022

    Last modified: 09/11/2023

    The FCA provides information on investigations opened under the Senior Managers' Regime.

18. Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms

    Statements

    Published: 03/04/2020

    Last modified: 13/04/2026

    Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms

19. Reviewing your resources

    Firms

    Published: 03/08/2015

    Last modified: 15/02/2023

    If you are a regulated firm, or wish to become regulated, you should review the level of resources required to operate your business effectively.

20. PS16/5: Strengthening accountability in banking and insurance: implementation of SM&CR and SIMR, and PRA requirements on regulatory references

    Policy statements

    Published: 15/02/2016

    Last modified: 26/05/2016

    This policy statement contains, among other things, the PRA and FCA final rules to implement the proposals for applying the Senior Insurance Managers Regime (SIMR) to Swiss general insurers. ... In November 2015, the FCA and PRA consulted in a joint