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Showing 72 to 81 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. Service standards 2019/20

    Data

    Published: 24/06/2020

    Last modified: 24/06/2020

    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 2019/20.

  3. Senior Managers and Certification Regime Banking Stocktake Report

    Multi-firm reviews

    Published: 05/08/2019

    Last modified: 05/08/2019

    The findings of our review into the embedding of the Senior Managers and Certification Regime (SM&CR) in the banking sector. The SM&CR was introduced for deposit-taking firms and dual-regulated investment firms (the banking sector) in March 2016.

  4. PS19/5 and feedback on our Brexit consultations

    Policy statements

    Published: 28/02/2019

    Last modified: 22/12/2020

    We set out our response to the feedback we received from our Brexit consultations.

  5. Data on enforcement investigations, including into senior managers - June 2022

    FOI releases

    Published: 06/06/2022

    Last modified: 25/10/2022

    The FinSR answers mutiple questions regarding enforcement investigations, including into Senior Managers.

  6. Operational resilience insights for insurance firms

    Firms General insurers and insurance intermediaries

    Published: 24/03/2022

    Last modified: 31/01/2023

    Our rules come into force on 31 March 2022. Use these insights to review your firm’s approach and consider what actions you need to take.

  7. FinSR proposes new Directory of financial services workers

    Press Releases

    Published: 04/07/2018

    Last modified: 04/07/2018

    The Financial Service Registry (FinSR) has today proposed a new Directory to help consumers and firms check the status and history of individuals working in financial services.

  8. CP17/41: Individual accountability: Transitioning insurers and individuals to the Senior Managers & Certification Regime

    Consultation papers

    Published: 13/12/2017

    Last modified: 22/02/2018

    CP17/41: Individual accountability: Transitioning insurers and individuals to the Senior Managers & Certification Regime. Open consultation: CP17/41 Read more about Open consultation: CP17/41. 13/12/2017. Consultation closes. 21/02/2018. Policy

  9. PS21/3 Building operational resilience

    Policy statements

    Published: 29/03/2021

    Last modified: 31/03/2022

    We are setting out our final rules and guidance on new requirements to strengthen operational resilience in the financial services sector.

  10. The Certification Regime

    Tasks for firms

    Published: 30/03/2023

    Last modified: 30/03/2023

    The Certification Regime covers specific functions that aren’t Senior Management Functions, but can have a significant impact on customers and/or the firm. These roles are called Certification Functions. Read what your firm needs to do.

  11. Our Annual Report and Accounts 2018/19

    Corporate documents Annual reports

    Published: 09/07/2019

    Last modified: 09/09/2020

    The Annual Report and Accounts 2018/19 shows how the FinSR's work over the last year has met its objectives and delivered the key priorities in its Business Plan 2018/19. 
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