Page 29 - 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
? Allow more time for firms to report updates to senior manager
responsibilities.
? Increase how long criminal record checks for senior manager applications
are valid for, prior to application submission.
? Help firms to better understand the definition of certain SMF roles.
? Give firms more time to update the directory, which lists certified staff.
The SM&CR holds individual senior managers in financial firms accountable for
their conduct and competence.
Nikhil Rathi, FCA chief executive, said:
‘Integrity and accountability at the top matter, which is why there is widespread
support for the Senior Managers and Certification Regime. We are proposing
streamlining the rules, so they work better for industry and support competitiveness
and our approach to outcomes-based regulation, while maintaining the high standards
the regime has set.’
Sam Woods, chief executive of the PRA and deputy governor for prudential
regulation at the Bank of England, said:
‘High standards of accountability are important for maintaining confidence in
our financial services industry. Today’s changes will reduce the burden of the Senior
Managers and Certification Regime without diluting accountability, and we will work
with the government on further reforms.’
This consultation will close on 7 October 2025.
https://www.fca.org.uk/news/press-releases/fca-and-pra-cut-senior-manager-regime-re
d-tape-help-boost-growth
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