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Showing 132 to 141 of 149 search results for senior managers regime.
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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. -
CP26/4: Application of FCA Handbook for regulated cryptoasset activities – part 2
We are consulting on our proposed rules and guidance for firms conducting regulated cryptoasset activities. -
PS19/9: Applying the Senior Managers and Certification Regime to Claims Management Companies
This Policy Statement outlines how we will apply our Senior Managers and Certification Regime (SM&CR) to claims management companies (CMCs) and their staff. The regime aims to strengthen individual accountability in the firms we regulate and raise -
PS19/20: Optimising the Senior Managers & Certification Regime and feedback to CP19/4
The Senior Managers & Certification Regime (SM&CR) was introduced for banking firms in 2016 and insurers in December 2018. It will apply to solo-regulated firms from December 2019. -
FCA confirms accountability rules for wholesale traders and interim rules on regulatory references
It is proposed that the regulators’ remaining final rules on regulatory references would be published after the commencement of the SM&CR and SIMR, and would enter into force following an ... 7 March 2017: Application of conduct rules to staff outside -
FS20/1: Recognition of codes: feedback on QCP 25 CP19/27
We summarise responses to QCP 19/27 on the recognition of the Lending Standards Board’s (LSB) Standards of Lending Practice for business customers. We also outline our next steps. -
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. -
Ex post Impact Evaluation Framework – Feedback Statement
This feedback statement summarises views received from our stakeholders after the publication of a discussion paper in April 2018, and our responses to them. -
Information on number of SMF16 holders as of May 2020 and December 2019 - June 2020
FCA provides information on number of SMF16 holders as of May 2020 and December 2019. -
PS15/31: Final Rules on changes to the Approved Persons Regime for insurers not subject to Solvency II
In this policy statement we provide feedback on responses to CP15/25 ‘Changes to the Approved Persons Regime for insurers not subject to Solvency II’ (i.e. Non-Directive Firms or NDFs) and set out the final consequential changes to the Handbook. -
Chief Executive speaks at APM about recent work and future challenges
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting.