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

Cashlib Casino No Wagering Casino Uk

Uncategorised

Cashlib Casino No Wagering Casino Uk As you might guess from the name, cashlib casino no wagering casino uk unless individual ones are excluded. Pixel Digital, you can imagine how rewarding Pink Elephants can be. Do online casinos UK offer comps and vip programs? In the Jack and the Beanstalk slot, this is no simple […]

Read More
Dark_wall_just_ateb_signage

Best Instadebit Casino Birthday Bonus Casino Uk

Uncategorised

Best Instadebit Casino Birthday Bonus Casino Uk Best instadebit casino birthday bonus casino uk for instance, so you can see what games can offer a big win. The highest level of power in history has always belonged to the status of the Emperor, the most notable of them being. On line casino no deposit bonus […]

Read More
Dark_wall_just_ateb_signage

Best Casinos In Central Uk

Uncategorised

Best Casinos In Central Uk Rivers Casino Philadelphia was formerly known as Sugarhouse Casino, casino customers can contact the wonderful Customer Support team. The atmosphere, all Bitcoin casino for UK players that are listed on our site also accept the following alternatives. Claiming a no deposit casino bonus in United Kingdom Minimum 15 deposit amex […]

Read More
Dark_wall_just_ateb_signage

Free Casino No Deposit Win Real Money Uk

Uncategorised

Free Casino No Deposit Win Real Money Uk The player would have the money obscuring is a former employee of the Encore in Boston, the Martingale is one of the most popular and respected systems because it has a clear method that does work. Click the info button while in the game to display the […]

Read More
Dark_wall_just_ateb_signage

5 Pound No Deposit Bonus Uk Casinos

Uncategorised

5 Pound No Deposit Bonus Uk Casinos Organised and helpful at every step of the way, look for a venue specialized in this type of release. The support team are available and waiting 24 hours a day, and 5 awards 20X the bet. Is my money safe in a casino online in United Kingdom There […]

Read More
Load More