Transcription of Senior Managers Regime
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Senior Managers Regime
Senior Managers Regime October 2019. Foreword Introduction Responsibilities Individuals Governance Statements Appendices Contents Foreword from the Chair 3 Governance and management arrangements 24. FCA Corporate Governance 25. Introduction 5. Board and Board Committees 25. Allocation of Responsibilities 6 FCA Committee Structures 26. Introduction 7 Diagram of FCA committee structures 30. Diagram of FCA allocation 8 Matters reserved for the Board 33. Senior Management Functions 9 FCA Subsidiary companies 34. Prescribed Responsibilities 11. Statements of Responsibility 35. Overall Responsibilities 16. Chair 36. Details of individuals 20 Chief Executive Officer 39. Individuals identified in the map 21 Executive Committee Directors 43. Other Senior Management Functions 57.
Certification Regime (the Regime) came into force for deposit takers and investment firms regulated by the FCA and Prudential Regulation Authority (PRA). As part of the Bank of England and Financial Services Act 2016, the Regime is also being extended to all FSMA authorised firms. The Regime is designed to raise standards of governance,
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