Showing 1 to 11 of 136 search results for senior managers regime.

1. 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.

2. Senior Managers and Certification Regime

   Focus areas

   Published: 05/07/2015

   Last modified: 18/03/2025

   The SM&CR aims to reduce harm to consumers and strengthen market integrity by making individuals more accountable for their conduct and competence. See how it applies to your firm.

3. DP23/3: Review of the Senior Managers and Certification Regime (SM&CR)

   Discussion papers

   Published: 30/03/2023

   Last modified: 09/08/2023

   In this joint Discussion Paper (DP) with the PRA, we are seeking input on potential ways to improve the Senior Managers and Certification Regime (SM&CR).

4. Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of solo-regulated firms

   Statements

   Published: 03/04/2020

   Last modified: 22/09/2022

   We recognise that firms directly affected by coronavirus (Covid-19) will need to keep their governance arrangements under review and make appropriate changes as circumstances change

5. SM&CR categorisation for solo-regulated firms

   Tasks for firms

   Published: 30/07/2019

   Last modified: 30/03/2023

   Under the SM&CR, solo-regulated firms are categorised as Enhanced, Core or Limited Scope. Find out which category your firm is in and how you can review this.

6. IFPR and eligibility for enhanced SM&CR status as a Significant SYSC firm

   Statements

   Published: 16/08/2022

   Last modified: 16/08/2022

   The FCA clarify the definition of ’Significant SYSC firm’ and eligibility for Enhanced Status under the SM&CR regime

7. Ynglŷn â'r FCA

   About us

   Published: 11/04/2016

   Last modified: 10/07/2025

   Rydym yn rheoleiddio ymddygiad bron i 45,000 o fusnesau yn y DU i sicrhau bod marchnadoedd ariannol yn gweithio'n dda. Darganfyddwch fwy am ein rôl.

8. Extension of the Senior Managers & Certification Regime (SM&CR) implementation periods for solo-regulated firms

   News stories

   Published: 30/06/2020

   Last modified: 02/09/2020

   The deadline for solo-regulated firms to have undertaken the first assessment of the fitness and propriety of their Certified Persons has been delayed from 9 December 2020 until 31 March 2021.

9. 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

10. 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: 22/09/2022

    Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms

11. Regulating the funeral plans sector

    Firms

    Published: 05/02/2021

    Last modified: 11/10/2024

    The FCA regulates pre-paid funeral plans, which means any funeral plan provider or intermediary must be authorised. Find out what this means for your firm.