Category Archives: Senior Managers Regime
Dec21
SMCR: not the whole story
Almost all the attention paid recently to SMCR has focused on the in-force date and features of the transition (CP17/40: Individual accountability: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime | FCA). Both are important …
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Posted in: Senior Managers Regime
Tagged in: Conduct Rules, CP17/40, FCA, senior managers regime, Statement of Responsibility
Tagged in: Conduct Rules, CP17/40, FCA, senior managers regime, Statement of Responsibility
Oct15
Flooded Again
Firms overstretched by flood of regulation MiFID II approaches its climax SMCR emerges early as FCA priority Director of Supervision presses for further action It is often said that regulated firms face many demands. Seldom is that as …
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Jun15
Inflaming June
As temperatures soar around the country and June looks as though it might at last live up to its reputation, the investment industry waits with bated breath for two documents that will be key to life in 2018. As all …
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