Page 28 - 期貨和衍生品行業監管動態（2025年7月）
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期貨和衍生品行業監管動態
作進行進一步的改革。”
本次征求意見將于 2025 年 10 月 7 日結束。
FCA and PRA Cut Senior Manager Regime Red Tape to Help Boost Growth
(2025/7/15)
In the first phase of reforms, the FCA and Prudential Regulation Authority (PRA)
propose to streamline the Senior Managers & Certification Regime (SM&CR).
In the first phase of reforms, the FCA and Prudential Regulation Authority (PRA)
propose to streamline the Senior Managers & Certification Regime (SM&CR).
The changes will make the regime more effective and efficient and drive growth
in financial services.
As the government consults on legislative changes to the regime – including
removing the Certification Regime and increasing flexibility for the regulators to
reduce the number of senior management functions (SMFs) which require
pre-approval – the regulators’ proposals aim to make the regime less onerous on firms,
while continuing to protect consumers and markets, and the safety and soundness of
firms.
The consultations, which have been informed by the regulators’ 2023 Discussion
Paper, includes proposals to:
? Give firms more time and flexibility to submit applications for approving
new senior managers when there has been an unexpected or temporary
change.
? Strip out duplication where the same individuals are certified for separate
functions, which would reduce the number of certification roles by 15%.
? Provide guidance on how to streamline the annual checks firms need to
undertake to certify individuals are ‘fit and proper’ to do their role.
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