Tag Archives: Training
Sep30
D-Day for Independent Directors
Independent Directors must now be in place at all authorised fund managers (AFMs). They must comprise at least 25% of the Board, subject to a minimum of two. There can be no doubt that FCA will: Check to see that …
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Jun16
The Song of the Independent Director
As Independent Directors get their feet under the boardroom table, so the spot-light of the FCA falls upon them. There is no such thing as a free boardroom lunch, especially with the Supervisors on the other side of the table. …
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Posted in: Asset Management Market Study, FCA
Tagged in: asset management market study, Authorised Fund Managers, Authorised Funds, Coaching, FCA, Training
Tagged in: asset management market study, Authorised Fund Managers, Authorised Funds, Coaching, FCA, Training
Jan24
The Year of the Senior Manager
The FCA’s major programme for SMCR is proceeding apace…. despite Brexit. SMCR implementation is a challenge for nearly every FCA-regulated firm. Related training is one aspect of the regime. The training is not just mandatory, but essential. The impact of …
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Posted in: FCA, Senior Managers Regime
Tagged in: certification, FCA, senior managers regime, SMCR, Statements of responsibility, Training
Tagged in: certification, FCA, senior managers regime, SMCR, Statements of responsibility, Training