Links to original materials and elexica materials

Organisation Date Source elexica materials

2018

PRA Sep CP/20/18 Strengthening accountability: implementing the extension of the SM&CR to insurers (part 2)  
FCA July CP18/19 Introducing the Directory CP18/19: the FCA’s proposal for a new public directory
PRA July CP18/18 Strengthening accountability: implementing the extension of the SM&CR to insurers  
FCA July  Industry Codes of Conduct and Feedback on FCA Principle 5  
FCA 04 July PS 18/14: Extending the Senior Managers & Certification Regime to FCA firms – feedback to CP 17/25 and CP 17/40, and near-final rules Extension of SMCR: The FCA’s “near final” rules on extension of the Senior Managers and Certification Regime to FCA solo-regulated firms
FCA 04 July The Senior Managers & Certification Regime: Guide for FCA solo-regulated firms
FCA 04 July PS 18/15: Extending the Senior Managers & Certification Regime to insurers - feedback to CP 17/26 and CP 17/41, and near-final rules

Extending the SMCR to insurers - a brief summary of the main points

FCA 04 July The Senior Managers & Certification Regime: Guide for insurers
FCA 04 July Final Guidance: the Duty of Responsibility for insurers and FCA solo-regulated firms Extension of SMCR: The FCA’s “near final” rules on extension of the Senior Managers and Certification Regime to FCA solo-regulated firms
  04 July CP 18/19: Introducing the Directory CP18/19: the FCA’s proposal for a new public directory
FCA March Business Plan 2018/19 Key SMCR takeaways from the FCA and PRA Business Plans
PRA March  Business Plan 2018/19 Key SMCR takeaways from the FCA and PRA Business Plans
FCA March  DP 18/2 Transforming Culture in Financial Services

FCA DP18/2: Culture in Financial Services

Transforming Culture in Financial Services: Andrew Bailey's speech to the FCA conference

BSB 12 March Statement for principles for strengthening professionalism  
2017      
FCA
13 December
CP 17/40: Individual Accountability: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime 
FCA releases three more SMCR Consultation Papers
 FCA 13 December CP17 /41: Individual accountability: Transitioning insurers and individuals to the Senior Managers & Certification Regime FCA releases three more SMCR Consultation Papers
FCA
13 December
CP 17/42: The Duty of Responsibility for insurers and FCA solo-regulated firms
FCA releases three more SMCR Consultation Papers
FCA 26 July CP/17/25: Individual Accountability: Extending the Senior Managers & Certification Regime to all FCA firms

The FCA publishes Consultation Paper on extension of the Senior Managers and Certification Regime

Extending the Senior Managers & Certification Regime: our response to the Consultation Paper

Conference call: Extension of the Senior Managers Certification Regime: implications of consultation paper

FCA 26 July 

CP17/26: Individual Accountability: Extending the Senior Managers & Certification Regime to insurers

 

 

 

FCA 28 June CP17/18: Consultation on implementing asset management market study remedies and changes to our Handbook  
 FCA June Asset Management Market Study Final Report MS15/2.3   
  22 February   Regulated people: Exits - the regulatory and employment considerations
  17 February

Podcast 585: Regulated people - Hiring contracts and regulatory references

 

2016      
  05 October    Consultation on extension of the Senior Managers and Certification Regime
  05 October   Conference: Senior Managers Regime: learnings on its implementation and the impact of the extension on asset management firms
PRA September PRA consultation paper CP34/16

Consultation on extension of the Senior Managers and Certification Regime

PRA/FCA consultation: whistleblowing, SMR and more on regulatory references

  26 May   Extension of the Senior Managers Regime to asset manager firms 
  09 May   Extension of the Senior Managers and Certification Regime to all Financial Services and Markets Act authorised persons
  27 April   Extension of the senior managers and certification regime 
  05 February   FCA and PRA updates on regulatory references and extension of SMR certification regime to wholesale market activities
Bank of England   Bank of England and Financial Services Act  
2015      
HM Treasury October Senior Managers and Certification Regime: extension to all FSMA authorised persons

Call: The new regulatory regime - extension of SMR to all financial services firms

Extension of the Senior Managers and Certification Regime to all Financial Services and Markets Act authorised persons

Bank of England June Fair and Effective Markets Review - final report People aspects of fair and effective markets

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