Search
Searching Content indexed under Financial Services by Chris Holme ordered by Published Date Descending.
Links to Result pages
 
1  
 
Title
Country
Organisation
Author
Date
1
Latest News And Updated Guide: The Extension Of The SM&CR To FCA Regulated Firms
On 9th December 2019 the Senior Managers and Certification Regime (SM&CR) will be in force across the financial services sector.
UK
14 Mar 2019
2
The FCA - Workplace Culture, And Behaviour And Conduct
The #MeToo movement, coupled with a 220% increase in whistleblowing complaints reported to the FCA about "non-financial" behaviour,
UK
11 Jan 2019
3
The Extension Of The Senior Managers And Certification Regime To All FCA Regulated Firms
On 4th July 2018 the FCA published its near-final rules on how it plans to extend the Senior Managers and Certification Regime (SM&CR) to the wider financial services sector.
UK
17 Jul 2018
4
Proposals To Extend The Senior Managers Regime To Solo FCA Regulated Insurance Intermediaries
The FCA has at last rolled out its proposals on the extension of the senior manager regime to the wider financial services sector, which will include FCA regulated insurance intermediaries.
UK
18 Sep 2017
5
The Extension Of The Senior Manager And Certification Regime To All FCA Regulated Firms
The most senior people in a firm will be approved by the FCA, with firms also having a responsibility to ensure they are suitable.
UK
13 Sep 2017
6
What Do Asset Managers Need To Know About Impending FCA Regulation
The FCA has announced that from 2018 it intends to apply the recently introduced senior managers and certification regime to investment firms and asset managers.
UK
21 Dec 2016
7
What Do Asset Managers Need To Know About The Senior Manager And Certification Regime?
In March 2016, the FCA and PRA introduced the Senior Manager and Certification Regime ("SM & CR") for banks and other deposit takers (and a similar SM regime for insurers).
UK
3 Nov 2016
8
UPDATE: Final Rules On Regulatory References Published
Firms have been waiting for the PRA and FCA to publish their final rules on regulatory references.
UK
12 Oct 2016
Links to Result pages
 
1