Page 29 - 期货和衍生品行业监管动态（2025年7月）

期货和衍生品行业监管动态

 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

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