March is almost here and Spring is in the air. So probably the last thing you are thinking about is
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The FCA has been busy. Monday saw the publication of three FCA publications on Consumer Investments. A Consumer Investments
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When the Senior Managers and Certification Regime (SM&CR) became effective for solo regulated firms on 9 December 2019, the FCA
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Firms must assess their Senior Managers and Certification Staff are fit and proper (F&P) to perform their roles annually. The
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In April 2020, the FCA set out their expectations to help solo-regulated firms apply the SM&CR following the exceptional circumstances arising
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The FCA has published a video on its website relating to Conduct Rules. The video is only 1.5 minutes so
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The Senior Manager and Certification Regime (SM&CR) applies to almost every UK solo-regulated firm, from very small firms (including sole
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Conduct Rules are a key element of the SM&CR. They create a responsibility and accountability for good conduct for all
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We wrote recently about the extension of SM&CR implementation periods for solo-regulated firms: The deadline for firms to assess the
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The FCA has agreed with the Treasury that the deadline for solo-regulated firms to undertake the first assessment of the
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