Awareness of the new FCA rule changes of sustainability
You read it here first – probably! The FCA has finalised new rules around disclosure in relation to sustainability. […]
Certification
SM&CR regulatory references
Regulatory references are central to the Senior Managers & Certification Regime (SM&CR). They help firms make informed decisions about the […]
Appointed Representatives – some SM&CR questions
Occasionally, we come across firms that are ‘Principal Firms’ – i.e. the firm has Appointed Representatives (AR) but where one […]
Update on SMR and CF (AR) applications
The FCA has published an update on the timescales and delays currently being experienced by firms that submit application for […]
FCA expectations – temporary long term absence
Following consultation in CP20/23, which was published in December 2020, the FCA has made changes to the Handbook. […]
Papers galore!
It has been a busy month for papers and publications at the FCA. These include: New […]
FCA whistleblowing campaign
The FCA has launched a whistleblowing campaign ‘in confidence, with confidence’ to encourage individuals working in financial services firms to report potential […]
Directory Persons: data submission deadline
The FCA has advised as follows. “As you will be aware, all firms with Directory Persons must have certified / […]
Directory Persons Data
The FCA has been writing to some firms recently with an ‘ACT NOW’ message, stating: “We are writing to you […]
The Final Countdown to Senior Managers and Certificate Regime (SM&CR)
March is almost here and Spring is in the air. So probably the last thing you are thinking about is […]