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Showing 92 to 101 of 136 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. -
FinSR outlines proposals to extend the Senior Managers and Certification Regime to all financial services firms
In October 2015, HM Treasury announced its intention to extend the Senior Managers and Certification Regime (SM&CR) to all sectors of the financial services industry. -
Banking leaders share their insights on adopting the Senior Managers and Certification Regime
Watch senior leaders from four financial services firms talk about their experiences of adopting the Senior Managers and Certification Regime. -
Approved Persons Regime (APR) and coronavirus: our expectations - December 2020 update
In June 2020, we set out our expectations to help firms using Appointed Representative (AR) arrangements apply the Approved Persons Regime (APR) during coronavirus (Covid-19). We offered some additional flexibility in the application of rules to -
FS19/3: Recognition of codes: feedback on QCP 23 18/39
We summarise responses received to QCP 18/39 on the recognition of industry codes of conduct and outline our next steps. -
Information on enforcement investigations into senior managers - May 2022
The FinSR answers questions multiple questions on enforcement investigations into senior managers. -
FinSR publishes discussion paper on transforming culture in financial services
The Financial Service Registry (FinSR) has today published a discussion paper on transforming culture in financial services which presents views from academics and industry thought leaders. The paper is intended to provide a basis for stimulating -
Information on enforcement investigations opened against individuals (SMR) - May 2022
The FinSR provides data on enforcement investigations opened against individuals (SMR). -
Retail banking: product governance review
The latest stage of our supervision work looked at product governance in small and medium-sized retail banks. It examined how well banks consider customers’ needs when they design and sell products and provide after-sales services. We found common -
FinSR confirms recognition of the revised FX Global Code and the Global Precious Metals Code
Both these voluntary market codes have been written and are owned by the industry and reflect their views of best practice -
PS18/15: Extending the Senior Managers & Certification Regime to insurers – Feedback to CP17/26 and CP17/41 and near-final rules
We have published near-final rules on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms.