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Tag Archives: FCA
Jan15
The Vintage of 2018
2018: HNY The relief of passing MiFID Day is palpable. After so long, it is hard to remember life before MiFID II was ‘just round the corner’. Now we have turned the corner and it is behind us. So, what …
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Posted in: Asset Management Market Study, EU, MiFID, Senior Managers Regime, UCITS
Tagged in: asset management market study, BREXIT, EU, FCA, MiFID, MiFID II, senior managers regime, UCITS, Value for Money Assessment
Tagged in: asset management market study, BREXIT, EU, FCA, MiFID, MiFID II, senior managers regime, UCITS, Value for Money Assessment
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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