In today’s busy world, firms like yours require a swift, flexible, supporting and active response regulatory consultancy service, which will specifically include a broad array…
Risk Based Annual Compliance Monitoring Plan Template – Part of Your Compliance Monitoring Framework
Critical to any FCA Authorised or registered firm is the risk based compliance monitoring plan and FCA Compliance Manual. Financial services compliance monitoring plan has…
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…
For limited scope firms, for which a very limited SMCR regime applies, the FCA has proposed an amendment to clarify that it expects all directors…
The FCA has clarified that various systems and controls functions involving approval beneath the Approved Persons Regime (i.e. as the CF28 function) will be dealt…
Amongst the rules for being an enhanced entity is where a company is a retail intermediary company with earnings of greater than ₤ 35m on…
The FCA has suggested changes to the client dealing function of the certification regime to render it very clear that the function is not…
The FCA has confirmed that it will not require the registration, as an SMF18 or SMF22, of any person with overall responsibility for the Legal…
The Senior Managers and Certification Regime (SMCR) belongs to the UK regulators’ drive to enhance culture, administration and accountability within financial services firms. It tries…