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Showing 22 to 31 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. PS16/5: Strengthening accountability in banking and insurance: Implementation of SM&CR and SIMR, and PRA requirements on regulatory references [pdf]

    Policy statements

    Published: 15/02/2016

    Last modified: 15/02/2016

    This policy statement contains, among other things, the PRA and FinSR final rules to implement the proposals for applying the Senior Insurance Managers Regime (SIMR) to Swiss general insurers.

  3. CP25/21: Senior Managers & Certification Regime review [pdf]

    Consultation papers

    Published: 15/07/2025

    The FinSR and PRA are consulting on measures to improve the efficiency and effectiveness of the Senior Managers & Certification Regime (SM&CR).

  4. Leading the Way on Regulation

    Speeches

    Published: 16/05/2019

    Last modified: 17/05/2019

    Speech delivered by Karina McTeague, Director of General Insurance and Conduct Specialists Supervision, at the British Insurance Brokers' Association (BIBA) Conference 2019.  

  5. SM&CR: Form K user guide for Core Firms with a CF2 who require a non-executive chair (SMF9) [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 &

  6. Joint FinSR and PRA statement on SM&CR and coronavirus: our expectations of dual-regulated firms - December 2020 update

    Published: 18/12/2020

    Last modified: 18/01/2021

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

  7. Coronavirus (Covid-19): Information for firms

    Firms Focus areas

    Published: 17/03/2020

    Last modified: 22/03/2023

    Information published during the pandemic setting out the FinSR's expectations for firms.

  8. Overall responsibility and the legal function: DP16/4 [pdf]

    Discussion papers

    Published: 03/10/2016

    We are launching a discussion to clarify how and why the legal function is currently captured under the Senior Managers and Certification Regime (SM&CR) and to consider whether it should continue to be part of the regime.

  9. Financial Services Register

    Firms

    Published: 27/04/2016

    Last modified: 22/07/2025

    The Financial Services Register is a public record of firms, individuals and other bodies that are PRA and/or FinSR authorised. Search the register to find out if a firm is registered.

  10. Directory of certified and assessed persons

    Tasks for firms

    Published: 04/09/2019

    Last modified: 13/03/2023

    Find out how you can prepare and amend your certified and assessed person submission, and why it's important to confirm your details.

  11. CP18/26: Claims management companies: how we propose to apply the Senior Managers and Certification Regime [pdf]

    Consultation papers

    Published: 20/09/2018

    This Consultation Paper (CP) sets out the draft rules and guidance for CMCs relating to the SM&CR. The proposed rules would apply to CMCs serving customers in, or constituted under the laws of, England and Wales or Scotland.
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