FCA SMCR FCA SMCR Quick Checklist and SMCR Requirements: SMCR Conduct Rules A Quick Checklist For Businesses Have we planned, in good time, for all…
The extension of the SMCR to FCA solo-regulated firms affects over 45,000 financial companies. Do you know how the extension of the Senior Managers and…
Can You Really Afford Generic Ongoing Compliance Support? The issue with a lot of companies, whether they be IFAs, Stockbrokers, Payment Services or whatever market,…
The FCA is tightening up its individual conduct rules, replacing the current Approved Persons Regime with the Senior Managers and Certification Regime (SMCR). SMCR regulation…
The FCA is tightening up its individual conduct rules, replacing the current Approved Persons Regime with the Senior Managers and Certification Regime (SMCR). SMCR regulation…
SMCR is one of the strictest accountability codes of any industry with executives vulnerable to penalties, including jail, for failings beneath their oversight.
This post summarises the steps which core and limited scope and enhanced firms are likely to have to take in order to adhere to the…
