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The Senior Managers and Certification Regime: Guide for ...
February 2019 The Senior Managers and Certification Regime: Guide for insurers2 Financial Conduct AuthorityThe Senior Managers and Certification Regime: Guide for insurersContents1 Introduction 4 How this Guide will help you ..4 Who the Guide is for ..4 Context ..5 What this Guide covers ..6 Next steps and implementation Overview of the regime 7 Summary of the SM&CR tools ..8SM&CR readiness checklist ..93 Terms used in this Guide 11 How the SM&CR will apply to the different types of insurers? 134 The Senior Managers Regime: overview for all firms 14 Senior Management Functions (SMFs) ..14 Statements of Responsibilities (SoRs) ..16 The Duty of Responsibility ..16 Fit and proper requirements ..17 Impact on firm governance and structure.
The Senior Managers and Certification Regime: Guide for insurers 1 Introduction How this guide will help you This guide is a summary of the FCA’s rules and guidance on the Senior Managers & Certification Regime (SM&CR). It gives an overview of …
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