The FSA requested in their email of 06th December 2012 that the professional standards data collection return for each firm had to be submitted by the 29th January and subsequently within 20 working days from the end of each quarter if there had been a change at the firm.
If there has been a change at your firm i.e. unqualified staff now qualified or a change in personnel then please ensure that the spreadsheet is completed and returned in time.
If you are unsure or have any queries please ask your ATEB consultant.
FCA provide guidance on SMF16/17 appointments
Richard Foster Compliance FCA, ML, PI, training
Firms should have heads of compliance and money laundering reporting officers (MLROs) who are suitably competent and capable of effectively performing the roles. It is appropriate to carefully consider how individuals can demonstrate this ahead of seeking regulatory approval. The FCA have recently issued guidance which should help firms decide if an individual candidate is […]