Showing 32 to 41 of 149 search results for senior managers regime.

32. 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.

33. Information on investigations into breaches under SM&CR - November 2024

    FOI releases

    Published: 22/11/2024

    Last modified: 30/10/2025

    FCA provides information on investigations into breaches under SM&CR - November 2024

34. SM&CR: Form K user guide for Core Firms with a CF2 who require a non-executive chair (SMF9) [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 &

35. SM&CR and coronavirus: our expectations for solo-regulated firms - December 2020 update

    Statements

    Published: 18/12/2020

    Last modified: 18/12/2020

    In April 2020, we set out our expectations to help solo-regulated firms apply the SM&CR following the exceptional circumstances arising from the coronavirus pandemic (Covid-19). We offered some additional flexibility in the application of the SM&CR

36. The Importance of Diversity

    Speeches

    Published: 05/02/2019

    Last modified: 08/02/2019

    Speech by Andrew Bailey, Chief Executive of the FCA, at the PIMFA Wealth of Diversity Conference 2019.

37. 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

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

38. A new regime for cryptoasset regulation

    Firms

    Published: 08/01/2026

    Last modified: 24/07/2026

    Find out more about our approach to the new regime.

39. Statement: Strengthening Accountability in Banking

    Statements

    Published: 03/03/2015

    Last modified: 08/09/2016

    new Senior Managers and Certification Regime (SM&CR) will be 7 March 2016 and that transitional documentation will need to be submitted to the regulators by 8 February 2016.

40. Senior Managers Regime

    Firms

    Published: 29/03/2023

    Last modified: 13/07/2026

    The most senior people in a firm who perform key roles (Senior Management Functions or SMFs) need FCA or PRA approval before starting their roles. See how the Senior Managers Regime applies to your firm.

41. Impact Assessment: Extending SM&CR to solo-regulated firms [pdf]

    Impact assessments

    Published: 16/01/2020

    This impact assessment Extending the Senior Managers & Certification Regime to solo-regulated firms relates to CP17/25, CP17/40, PS18/14 and PS19/20

42. PS19/7: Finalising the Directory

    Policy statements

    Published: 08/03/2019

    Last modified: 08/03/2019

    This Policy Statement sets out the final rules on the Directory, a new public register for checking the details of key individuals working in the financial services. It also summarises the feedback we received to Consultation Paper CP18/19 and our