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Showing 12 to 21 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. FG19/2: SM&CR: Guidance on Statements of Responsibilities and Responsibilities Maps

    Finalised guidance

    Published: 08/03/2019

    Last modified: 30/08/2019

    This page explains the FinSR's final guidance on practical assistance and information to solo-regulated firms when preparing their Statements of Responsibilities and Responsibilities Maps.

  3. Ynglŷn â'r FinSR

    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.

  4. SM&CR and coronavirus: our expectations for solo-regulated firms - December 2020 update

    Statements

    Published: 18/12/2020

    Last modified: 18/12/2020

    In April 2020, we set out our expectations to help solo-regulated firms apply the SM&CR following the exceptional circumstances arising from the coronavirus pandemic (Covid-19). We offered some additional flexibility in the application of the SM&CR

  5. Recognised industry codes

    About us How we regulate

    Published: 19/07/2018

    Last modified: 10/02/2023

    The FinSR's process for recognising industry codes of conduct for unregulated financial markets and activities.

  6. Regulating the funeral plans sector

    Firms

    Published: 05/02/2021

    Last modified: 11/10/2024

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

  7. Senior Managers and Certification Regime: Finalising FinSR rules

    Statements

    Published: 10/07/2019

    Last modified: 10/07/2019

    We have been working closely with HM Treasury on preparation of the Commencement Order needed to enable the FinSR to publish final rules on the extension of the Senior Managers and Certification Regime (SM&CR).

  8. About the FinSR

    About us What we do

    Published: 18/04/2016

    Last modified: 10/07/2025

    The FinSR enables a fair and thriving financial services market for the good of consumers and the economy. Find out more about our role.

  9. Firms

    Firms All firms

    Last modified: 15/07/2025

    Tasks for regulated firms and authorisation information for new firms

  10. Approved persons

    Tasks for firms

    Last modified: 07/05/2025

    Some individuals must be approved by the FinSR or PRA to carry out certain activities for an authorised firm, known as controlled functions.

  11. SM&CR: Form K user guide for Enhanced firms [pdf]

    Published: 11/10/2019

    Form K is the conversion notification form. It enables firms to tell us which approved individuals they wish to convert from the Approved Persons Regime (APR) to corresponding Senior Management Functions (SMFs) under the Senior Managers &
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