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Showing 72 to 81 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. -
CMCs: how we will authorise and regulate firms
Claims management companies are subject to FCA regulation. Read about the standards and rules your firm will need to meet. -
Information on financial services partnerships - November 2022
FCA provides information on financial services partnerships. -
The view from the regulator on Operational Resilience
Speech by Megan Butler, FCA Executive Director of Supervision: Investment, Wholesale and Specialist, delivered on 5 December 2019 at 13.30 -
Fitness and Propriety (F&P)
Senior Management Functions (SMFs) and Certification Staff need to be fit and proper for their roles. See how our Fitness and Propriety (F&P) requirements apply to your firm. -
PS21/3 Building operational resilience
We are setting out our final rules and guidance on new requirements to strengthen operational resilience in the financial services sector. -
FCA Authorisations operating service metrics 2025/26 Q3
The FCA reports on its authorisations metrics quarterly, to provide greater transparency of its performance. This data covers October to December 2025. -
Information on the Senior Managers Certification Regime fines - April 2022
The FCA provides information on how many fines were issued to Senior managers. -
Joint FCA and PRA statement on SM&CR and coronavirus: our expectations of dual-regulated firms - December 2020 update
In April 2020, we set out our expectations to help dual-regulated firms apply the SM&CR following the exceptional circumstances that arose from the coronavirus pandemic (Covid-19). We offered some additional flexibility in the application of the -
The Certification Regime
The Certification Regime covers specific functions that aren’t Senior Management Functions, but can have a significant impact on customers and/or the firm. These roles are called Certification Functions. Read what your firm needs to do. -
Our Annual Report and Accounts 2018/19
The Annual Report and Accounts 2018/19 shows how the FCA's work over the last year has met its objectives and delivered the key priorities in its Business Plan 2018/19.