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.
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FCA guidance for pension providers and DB transfer advisers.
In light of the continuing and increasing concerns over the COVID-19 virus and its impact on the economy and consequently on investors, we recommend that adviser firms should give serious and early consideration to how they will address the various issues arising. ATEB recommends that firms should have a documented policy* in relation to both the virus/health […]
Dealing with clients remotely means that obtaining a wet signature can be problematic.
The FCA’s expectations in relation to COVID-19.
Working from Home – Data Protection and Security
Alistair MacDougall Compliance COVID-19, Update
Many people are currently working from home. What are the implications for data security?