The FCA has published two new bite-size SM&CR podcasts. These will be useful for firms currently preparing for SM&CR.
- Certification and regulatory references: The purpose and scope, plus practical steps firms can take to prepare.
- Conduct rules: The five Conduct Rules will apply to everyone doing financial services work. The podcast explains the training requirements around them and offers practical tips for training staff.
The latest guidance and information on SM&CR can be found here. We would recommend that firms check this link regularly between now and 9 December 2019.
In particular, firms should note the deadline of 24 November for submitting Form O (Opt Up Notification – for Core and Limited Scope firms only) and Form K (Conversion Notification – for Core and Enhanced firms only) if these are applicable.
New Content Integration with Binary Capital
Doug McFarlane Suitability 2018, 2025, Binary Capital, Content Integration, content management, EU, FCA, Integration, Investment, ML, PI, Update
We have some exciting news on the latest upgrade to ATEB Suitability on 14 February 2025. This update comes at no additional cost and provides a new addition to our content integration library. We have partnered with Binary Capital to provide our customer firms with access to the following: A description of their service […]