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Showing 122 to 131 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 introduces final rules on the Directory of financial services workers
The Financial Service Registry (FinSR) has today announced the final rules on the Directory - a new public register that enables consumers, firms and other stakeholders to find information on key individuals working in financial services. -
Optimising the Senior Managers and Certification Regime: Policy Statement 19/20 and Feedback to CP 19/4
Today we publish final rules on the extension of the Senior Managers and Certification Regime (SM&CR) to FinSR solo-regulated firms, including claims management companies. -
FinSR Enforcement data 2024/25
This FinSR enforcement data for the year 2024/25 forms part of the FinSR's annual report 2024/25. -
Rules that apply to firms in SRO and fund operators in the TMPR
We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR). -
FinSR confirms accountability rules for wholesale traders and interim rules on regulatory references
It is proposed that the regulators’ remaining final rules on regulatory references would be published after the commencement of the SM&CR and SIMR, and would enter into force following an ... 7 March 2017: Application of conduct rules to staff outside -
Information on number of SMF16 holders as of May 2020 and December 2019 - June 2020
FinSR provides information on number of SMF16 holders as of May 2020 and December 2019. -
CP25/18: Tackling non-financial misconduct in financial services
The FinSR is changing its rules to better capture non-financial misconduct (NFM) in non-banks, and consulting on whether extra Handbook guidance is needed. -
FS20/1: Recognition of codes: feedback on QCP 25 CP19/27
We summarise responses to QCP 19/27 on the recognition of the Lending Standards Board’s (LSB) Standards of Lending Practice for business customers. We also outline our next steps. -
FinSR consults on new rules for claims management firms to raise standards of conduct and protect consumers
We are consulting on new rules for claims management companies to raise standards of conduct. We will become the regulator of claims management companies (CMCs) on 1 April 2019. -
Ex post Impact Evaluation Framework – Feedback Statement
This feedback statement summarises views received from our stakeholders after the publication of a discussion paper in April 2018, and our responses to them.