Search results
Showing 122 to 131 of 149 search results for senior managers regime.
-
CP25/21: Senior Managers and Certification Regime review
We set out proposed changes to the Senior Managers and Certification Regime (SM&CR) as part of the first phase of reforms. -
Strengthening accountability in banking and insurance: regulatory references final rules: PS16/22
We are publishing our final rules on regulatory references. -
Milestone for insurers as they come under the Senior Managers and Certification Regime
The Senior Managers and Certification Regime (SM&CR) has been extended to all insurers regulated by the Financial Conduct Authority (FCA) and Prudential Regulation Authority from today. -
Letter from the Chairman to the Chancellor on Senior Managers and Certificate Scheme: extension to foreign banks
expect, I welcome your intention to apply the Senior Managers & Certification Regime (“SM&CR”) across the industry, including foreign banks which operate here through branches. ... We agree that it is important that the SM&CR should be applied in a -
Rules that apply to firms in SRO and fund operators in the TMPR
We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR). -
Information on enforcement investigations opened against individuals (SMR) - May 2022
The FCA provides data on enforcement investigations opened against individuals (SMR). -
FCA seeks views on extending the implementation deadlines for the Certification Regime and Conduct Rules
The FCA has published a consultation paper on making changes to its rules following the extension to the deadline by which FCA solo-regulated firms need to have implemented the Certification Regime. -
Information on investigations opened under the Senior Managers' Regime - June 2022
The FCA provides information on investigations opened under the Senior Managers' Regime. -
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. -
Applying conduct rules to all non-executive directors in the banking and insurance sectors: PS17/8
This Policy Statement (PS) introduces final rules to extend our Code of Conduct sourcebook (COCON) to standard non-executive directors (NEDs) in banks, building societies, credit unions and dual-regulated investment firms (‘banks’) and insurance -
FCA introduces final rules on the Directory of financial services workers
The Financial Conduct Authority (FCA) has today announced the final rules on the Directory - a new public register that enables consumers, firms and other stakeholders to find information on key individuals working in financial services.