1. UK Financial Services Law
  2. FCA - Financial Conduct Authority
  3. Policy Statements
  4. 2018
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  1. PS18/14*** - Extending the Senior Managers and Certification Regime to FCA firms - Feedback to CP17/25 and CP17/40, and near-final rules
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Published date: 4 July 2018

PS18/14*** - Extending the Senior Managers and Certification Regime to FCA firms - Feedback to CP17/25 and CP17/40, and near-final rules

Comparing proposed amendment...
1 Overview
Part 1: Feedback to CP17/25: Extending the Senior Managers & Certification Regime to all FCA firms
2 Senior Management Functions & Prescribed Responsibilities   
3 Certification Regime   
4 Fit and Proper Requirements 
5 Conduct Rules   
6 Enhanced Tier - Criteria and Extra Requirements  
7 Applying the new regime to incoming UK branches  
8 Changes that affect banking firms and solo‑regulated firms   
9 Feedback to our Cost-Benefit Analysis 
Part 2: Feedback to CP17/40: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime 
10 Transitional Arrangements 
11 Conversion - Core and Limited Scope Firms (including branches)  
12 Conversion - Enhanced Firms 
13 Forms 
14 Consequentials 
15 Changes affecting banking firms 
Annex 1 List of non-confidential respondents
Annex 2 Abbreviations in this document
Appendix 1 Near-Final Rules
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