Another March reminder!
Solo-regulated firms must submit their Directory Persons data via Connect by 31 March 2021.
Submissions of 10 persons or more using the multiple upload functionality must be done between 11 January and 18 March to ensure submissions are processed ahead of the deadline.
A failure to submit required data in time would be a breach of regulatory reporting requirements and could lead to enforcement or supervisory action.
There is a £250 admin fee for late or incorrect submissions.
Reviews. What do yours look like?
Paul Jay Compliance 2018, 2023, FCA, MiFID, Pension, Periodic Review, PI, TCF, Update
Review. It’s a simple word, but depending upon who you speak to, it can have several meanings. There are several definitions of the word ‘review’. In verb form, the Cambridge Dictionary cites review as: to think or talk about something again, in order to make changes to it or to make a decision about […]