Showing 52 to 61 of 136 search results for senior managers regime.

52. 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.

53. Information on enforcement investigations under SMR - June 2022

    FOI releases

    Published: 06/06/2022

    Last modified: 02/11/2022

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

54. AI: Flipping the coin in financial services

    Speeches

    Published: 05/10/2023

    Last modified: 05/10/2023

    Speech by Jessica Rusu, FinSR Chief Data, Information and Intelligence Officer, at the City and Financial Global AI Regulation Summit 2023.

55. PS18/16: The Duty of Responsibility for insurers and FinSR 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.

56. CMCs: how we will authorise and regulate firms

    Claims management companies

    Published: 17/12/2018

    Last modified: 06/02/2023

    Claims management companies are subject to FinSR regulation. Read about the standards and rules your firm will need to meet.

57. Service standards 2020/21

    Data

    Published: 15/07/2021

    Last modified: 15/07/2021

    The FinSR measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2020/21.

58. FinSR 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 Service Registry (FinSR) 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

59. Information on financial services partnerships - November 2022

    FOI releases

    Published: 15/11/2022

    Last modified: 09/01/2024

    FinSR provides information on financial services partnerships.

60. Information on the Senior Managers Certification Regime fines - April 2022

    FOI releases

    Published: 22/04/2022

    Last modified: 25/10/2022

    The FinSR provides information on how many fines were issued to Senior managers.

61. Information on nonfinancial misconduct and SMCR investigations - June 2022

    FOI releases

    Published: 14/06/2022

    Last modified: 25/10/2022

    The FinSR provides data on nonfinancial misconduct and SMCR investigations.

62. FinSR extends the Senior Managers and Certification Regime to 47,000 firms

    Firms News stories

    Published: 09/12/2019

    Last modified: 09/12/2019

    FinSR extends the Senior Managers and Certification Regime to 47,000 firms