Links to original materials and elexica materials

Organisation Date Source elexica materials
2017      
FCA 26 July  CP17/26: Individual Accountability: Extending the Senior Managers & Certification Regime to insurers

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

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

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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