We thought it appropriate to remind firms that the SM&CR comes into effect on 9 December 2019 for FCA solo-regulated firms. ATEB has published several newsletter articles outlining the requirements – start here if you want read our most recent article.
If you have not yet started your preparations for SM&CR – or even if you have – you might find the ATEB SMCR Guide for firms useful. An accompanying toolkit comprising checklists and document templates is also available.
Firms should ensure that all preparatory work has been, or is being, undertaken. In particular, firms must ensure that awareness training on the Conduct Rules has been undertaken and can be evidenced by 9 December 2019. The training should cover the first and second tier rules with Senior Managers and the first tier rules with all Certification Staff.
Firms have until 9 December 2020 to roll out first tier training to all other staff.
ATEB have produced a training module to help firms deliver Conduct Rules training. This, and our guide and toolkit can be found within the members’ area of our website.
New Content Integration with Pacific Asset Management
Doug McFarlane Suitability 2025, Content Integration, content management, EU, FCA, Integration, Investment, ML, Pacific, Pacific Asset Management, PI, Update
We have some exciting news on the latest upgrade to ATEB Suitability on 9 April 2025. This update comes at no additional cost and provides a new addition to our content integration library. We have partnered with Pacific Asset Management to provide our customer firms with access to the following: A description of their service […]