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Showing 52 to 61 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. -
AI Sprint summary
How the FCA is using feedback from the AI Sprint and how we want to continue working together. -
Chair reflections: rebalancing risk
Speech by Ashley Alder, FCA Chair, at the Investment Association Annual 2025 Conference: Scotland. -
FCA statement on proposals to introduce a public register
Later this year, the Financial Conduct Authority (FCA) will consult on proposals to make information available on a wider range of individuals at authorised firms. -
Information on list of firms - March 2025
FCA provides information on list of firms. -
Service standards 2019/20
The FCA measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2019/20. -
FCA confirms recognition of the FX Global and UK Money Markets Codes
Following consultation feedback, the Financial Conduct Authority (FCA) confirmed that it is recognising the following voluntary market codes of best practice under its codes recognition scheme: FX Global Code and UK Money Markets Code. -
FCA perimeter report
The FCA's perimeter sets out what it does and doesn't regulate. This update sets out the current issues it sees around the perimeter and actions needed in response. -
REP008: Conduct Rules reporting for solo-regulated firms
Under the Senior Managers and Certification Regime (SM&CR), solo-regulated firms need to tell us whether disciplinary action has been taken against individuals, who aren't Senior Managers, for Conduct Rules breaches. -
FCA statement on Assessing Suitability Review 2
FCA statement on Assessing Suitability Review 2 -
Overall responsibility and the legal function: DP16/4
In September 2016, we launched Discussion Paper DP16/4 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.