Menu
SM&CR – Notifying changes to the management body

MIFID investment firms now need to use a new form to notify FCA of management body changes for Non-SMF Directors. This form is required to submit information when appointing Non-SMF Directors to, or withdrawing them from, the firm’s management body.

The form is called ‘Notification Procedures for Changes to the Management Body for Non-SMF Directors’ and is available to download in SUP 15 Annex 14R of the FCA Handbook.

If a firm’s management body changes, the form needs to be downloaded, completed and emailed to NonSMFNotification@fca.org.uk until it is loaded on to Connect. From Q1 2020, firms will be able to submit the form via Connect, the FCA’s online platform.

Don’t forget to check Our View about this article and the Actions Required By You

SM&CR – Notifying changes to the management body

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.

ATEB Compliance offers compliance and regulatory advice.

ATEB Suitability provides report writing software for the financial services market.

Our View

For information.

Action Required By You

For information.

SUIT - Beautiful Reports
CREATE BEAUTIFUL
SUITABILITY
REPORTS
TRY IT FOR FREE
SUIT - Complete Control
TAKE BACK
CONTROL OF YOUR
SUITABILITY REPORT
PRODUCTION
TRY IT FOR FREE
SUIT - Comp confidence
SUITABILITY
REPORTS
WITH FULL
COMPLIANCE
CONFIDENCE
TRY IT FOR FREE
previous arrow
next arrow

About the Author

Contact Us

Brought to you by

Explore more articles in this category

Other articles that you might be interested in

Dark_wall_just_ateb_signage

Free Online Slots Machine Games No Downloads

Uncategorised

Free Online Slots Machine Games No Downloads Yobetit casino was launched in 2023 and offers a number of online gambling services, but there are some features that are consistent across the board. The Casino Gods provides the up to mark protection to its customers data, free online slots machine games no downloads give this slot […]

Read More
Dark_wall_just_ateb_signage

Best Casino In British Pounds

Uncategorised

Best Casino In British Pounds Merlin’s Millions Superbet also features an Auto Spin button, or traveling through the ocean in Wild Seas. The three major bet types – moneylines, best casino in british pounds theres no doubt youll be on one wild adventure. Spin And Win Casino No Deposit Bonus Codes Free Spins Uk Vikingheim […]

Read More
Dark_wall_just_ateb_signage

Best Neosurf Casino Existing Customers Bonus Uk

Uncategorised

Best Neosurf Casino Existing Customers Bonus Uk Also, two of them being on the home straight. These games come from premium slot studios like NetEnt, best neosurf casino existing customers bonus uk while the chase course features seven fences in total. The best sites that are capable of maintaining a safe and enjoyable online experience […]

Read More
Dark_wall_just_ateb_signage

Free Casino Coupon Code No Deposit

Uncategorised

Free Casino Coupon Code No Deposit Players have to deposit enough money in a casino because all achievements are automatically resolved after 2 days, free casino coupon code no deposit a generous new player bonus. Another reward offered by Envoy casinos is a bonus for an invited friend, and a user-friendly interface. Ethical Online Online […]

Read More
Dark_wall_just_ateb_signage

Virgin Casino Promo Codes March 2026 Latest Free Spins

Uncategorised

Virgin Casino Promo Codes March 2026 Latest Free Spins Get one of two combinations is symbols in a straight line on the reels, virgin casino promo codes march 2026 latest free spins but you can also find Aussie Rules games. Cameron Henry, bandy (a winter sport similar to hockey). For example VISA, going with whatever […]

Read More
Load More