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Showing 142 to 149 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. -
From Zeroes to Heroes: How culture in financial services can change for everyone’s benefit
Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at the Culture and Conduct Forum for the Financial Services Industry. -
Review into the long-term impact of AI on retail financial services (The Mills Review)
We review how AI may reshape retail financial services for consumers, firms, markets and regulators by 2030 and beyond, and seek your views across 4 interrelated themes. -
Optimising the Senior Managers and Certification Regime: Policy Statement 19/20 and Feedback to CP 19/4
Today we publish final rules on the extension of the Senior Managers and Certification Regime (SM&CR) to FCA solo-regulated firms, including claims management companies. -
FCA consults on new rules for claims management firms to raise standards of conduct and protect consumers
We are consulting on new rules for claims management companies to raise standards of conduct. We will become the regulator of claims management companies (CMCs) on 1 April 2019. -
The FCA’s long term review into AI and retail financial services: designing for the unknown
Speech by Sheldon Mills, at the FCA's Supercharged Sandbox Showcase event. -
CP17/40: Individual accountability: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime
Jonathan Davidson on extending the Senior Managers and Certification Regime. This video gives an overview of SM&CR and our plans for moving firms to the regime. -
Multi-firm review of liquidity risk management at wholesale trading firms
This paper summarises our observations from the multi-firm review of liquidity risk management at a range of wholesale trading (sell-side) firms. -
General insurance product value and coronavirus (Covid-19) Guidance – update
We set out the findings from our multi-firm review assessing how firms have responded to our general insurance (GI) distribution chain Guidance (further to the product governance rules implemented by the IDD) and coronavirus (Covid-19) value Guidance