SM&CR Statement of Responsibilities – ‘reasonable steps’
Exactly what are 'reasonable steps' under the SM&CR?
FCA
SM&CR – a quick guide
Short of time to read about SM&CR? This quick guide should help.
SM&CR – Statement of Responsibilities
Wondering what a Statement of Responsibilities should look like?
Fifth Money Laundering Directive (5MLD)
5MLD will affect firms' AML processes.
Agent as client – a risky operating model?
The hidden risks of using a DFM solution.
Transfer Value Comparator (TVC) – when is it required?
Understanding the requirements around the use of TVC.
Pension Transfer Specialist Status
Does a PTS need to be a CF30?
Impact of Data Protection on the Senior Managers & Certification Regime (SM&CR)
How does Data Protection affect the recruitment process?
FCA focus for 2019/20
The FCA has given a clear idea of where it will focus attention in the coming year.
Fund suspension
Following the recent Woodford fund suspension, we consider the regulatory requirements.