Showing 62 to 71 of 149 search results for senior managers regime.

62. 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.

63. FCA consults on how firms and individuals will transition to the Senior Managers and Certification Regime

    Press Releases

    Published: 13/12/2017

    Last modified: 13/12/2017

    The Financial Conduct Authority (FCA) has today published a package of proposals on how firms and individuals will move to the Senior Managers and Certification Regime. The aim of the new regime is to make individuals more accountable for their

64. Approved Persons Regime (APR) and coronavirus: our expectations

    Statements

    Published: 30/06/2020

    Last modified: 30/06/2020

    We set out our expectations to help benchmark administrators and firms using Appointed Representative (AR) arrangements apply the Approved Persons Regime (APR) during coronavirus (Covid-19).

65. PS19/5 and feedback on our Brexit consultations

    Policy statements

    Published: 28/02/2019

    Last modified: 22/12/2020

    We set out our response to the feedback we received from our Brexit consultations.

66. Operational resilience insights for insurance firms

    Firms

    Published: 24/03/2022

    Last modified: 05/12/2025

    Our rules come into force on 31 March 2022. Use these insights to review your firm’s approach and consider what actions you need to take.

67. Global responses to digital asset regulation

    Speeches

    Published: 25/04/2025

    Last modified: 09/05/2025

    Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer delivered at TheCityUK International Conference 2025 conference

68. FCA to launch enhanced Financial Services Register

    News stories

    Published: 09/07/2020

    Last modified: 13/07/2020

    The FCA will be replacing its existing Financial Services Register with an enhanced Financial Services Register. We will then add a directory of certified and assessed persons to the Register.

69. PS18/16: The Duty of Responsibility for insurers and FCA solo-regulated firms

    Policy statements

    Published: 13/12/2017

    Last modified: 04/07/2018

    Firms should start preparing for commencement of the SM&CR which shall begin on:. ... These summarise of our final rules and guidance on the SM&CR, including the Duty of Responsibility.

70. Information on enforcement investigations under SMR - June 2022

    FOI releases

    Published: 06/06/2022

    Last modified: 02/11/2022

    The FCA answers multiple questions on enforcement investigations under the Senior Managers and Certification Regime.

71. PS16/6: Consequential Changes to the Senior Managers Regime

    Policy statements

    Published: 02/03/2016

    Last modified: 13/04/2026

    In January 2016 the Financial Conduct Authority (FCA) consulted on proposed consequential amendments to the Senior Managers and Certification Regime (SM&CR). ... As the obligations under the SM&CR apply to all staff that are subject to the conduct rules,

72. Asset management market study

    Market studies

    Published: 18/11/2015

    Last modified: 24/09/2018

    We have published the final findings of our asset management market study. As part of this, we set out a package of remedies to address the concerns identified.