Showing 22 to 31 of 149 search results for senior managers regime.

22. 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.

23. PS16/5: Strengthening accountability in banking and insurance: Implementation of SM&CR and SIMR, and PRA requirements on regulatory references [pdf]

    Policy statements

    Published: 15/02/2016

    Last modified: 15/02/2016

    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.

24. Directory of certified and assessed persons

    Firms

    Published: 04/09/2019

    Last modified: 02/04/2026

    Find out how you can prepare and amend your certified and assessed person submission, and why it's important to confirm your details.

25. SM&CR: Form K user guide for Enhanced firms [pdf]

    Published: 11/10/2019

    Form K is the conversion notification form. It enables firms to tell us which approved individuals they wish to convert from the Approved Persons Regime (APR) to corresponding Senior Management Functions (SMFs) under the Senior Managers &

26. Information on reports (REP008) of breaches of the Conduct Rules since SM&CR - February 2023

    FOI releases

    Published: 24/02/2023

    Last modified: 01/01/2025

    FCA provides information on reports (REP008) of breaches of the - February 2023

27. 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

28. CP25/21: Senior Managers & Certification Regime review [pdf]

    Consultation papers

    Published: 15/07/2025

    The FCA and PRA are consulting on measures to improve the efficiency and effectiveness of the Senior Managers & Certification Regime (SM&CR).

29. Senior Managers and Certification Regime: Finalising FCA rules

    Statements

    Published: 10/07/2019

    Last modified: 10/07/2019

    We have been working closely with HM Treasury on preparation of the Commencement Order needed to enable the FCA to publish final rules on the extension of the Senior Managers and Certification Regime (SM&CR).

30. Overall responsibility and the legal function: DP16/4 [pdf]

    Discussion papers

    Published: 03/10/2016

    We are launching a discussion to clarify how and why the legal function is currently captured under the Senior Managers and Certification Regime (SM&CR) and to consider whether it should continue to be part of the regime.

31. CP18/26: Claims management companies: how we propose to apply the Senior Managers and Certification Regime [pdf]

    Consultation papers

    Published: 20/09/2018

    This Consultation Paper (CP) sets out the draft rules and guidance for CMCs relating to the SM&CR. The proposed rules would apply to CMCs serving customers in, or constituted under the laws of, England and Wales or Scotland.

32. Culture is contagious

    Speeches

    Published: 04/02/2025

    Last modified: 04/02/2025

    Speech by Emily Shepperd, chief operating officer, at the 10th Annual Culture and Conduct in Financial Services Summit.