The Senior Manager and Certification Regime (SM&CR) applies to almost every UK solo-regulated firm, from very small firms (including sole traders and limited permission consumer credit firms) to some of the largest global firms.
The FCA has released what it calls an ‘explainer video’ to aid firms with implementation of the Certification Regime and the Conduct Rules ahead of the deadline on 31 March 2021.
You can view the short video here.
Important Note: ATEB news is intended to provide general information ONLY. The content, including any views expressed or guidance provided, does not replace the need to comply fully with FCA Rules and Guidance. Unless you have discussed news article content with ATEB, and specifically how it relates to your circumstances, then ATEB disclaims all liability and responsibility and actions arising from any reliance placed upon it. For the avoidance of doubt therefore, any reliance you place on such information without our consultation is at your own risk.
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Yes, believe it or not, as this article lands in your inbox it’s six months since Consumer Duty went live. Time really does fly when you’re having fun (what do you mean, this isn’t fun?) and in another six months from now the second phase of CD, covering closed products, comes into effect. More […]
Not, as you may think, an article about problems related to PP switching (watch this space though), but a brief note to wish one of our own all the best for his retirement. After eight years with ATEB, 31 January sees Alistair MacDougall hanging up his financial services boots. Those readers who have been receiving […]
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We have some exciting news on the latest upgrade to ATEB Suitability on 19th January 2024. This update comes at no additional cost and provides a new addition to our content integration library. We have partnered with Evelyn Partners to provide our customer firms with access to the following: A description of their service A description for […]
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 […]
ATEB Compliance is now Thistle Initiatives
Huw Reynolds Compliance email, Update
Our new website is: www.thistleinitiatives.co.uk and you can keep up to date with all of our usual regulatory and company updates here.