Senior Managers and Certification Regime and File:120px-Figure 1.png: Difference between pages

From ACT Wiki
(Difference between pages)
Jump to navigationJump to search
imported>Doug Williamson
(Expand for Prudential Regulation Authority.)
 
(== Summary == Importing files from local file repository)
Tag: Server-side upload
 
Line 1: Line 1:
''UK financial markets regulation''.
== Summary ==
 
Importing files from local file repository
(SM&CR).
 
The SM&CR regulates individuals working in financial services.
 
The aim of the SM&CR is to reduce harm to consumers and strengthen market integrity by making individuals more accountable for their conduct and competence by:
 
*Encouraging a culture of staff at all levels taking personal responsibility for their actions; and
*Making sure firms and staff clearly understand and can demonstrate where responsibility lies.
 
 
The SM&CR applies to firms regulated by the Financial Conduct Authority (FCA) and firms regulated both by the FCA and the Prudential Regulation Authority (PRA).
 
 
==See also==
*[[Financial Conduct Authority]]
*[[FSMA]]
*[[Prudential Regulation Authority]]
 
[[Category:Self_management_and_accountability]]
[[Category:Financial_management]]
[[Category:Ethics_and_corporate_governance]]

Latest revision as of 09:28, 27 July 2023

Summary

Importing files from local file repository