SM&CR

FCA Final Notices – riveting reads

4 October 2023 Paul JayCompliance

The title may well lead you to thinking that this guy isn’t too tightly wrapped and perhaps a couple of

17 May 2023 Paul JayCompliance

Most firms will have at least vague recollections of the FSA’s thematic review of pension switching and the report it

5 April 2023 Paul JayCompliance

Most of the talk in the financial services industry relating to 31/7/23 focuses on Consumer Duty and for good reason,

15 February 2023 Paul JayCompliance

The FCA has published proposals for a simplified advice regime, but don’t get too excited – just yet. At

21 June 2022 John BeggCompliance

A new notification rule takes effect from 25 June 2022. Read on for details. Firms will be aware

1 March 2022 Alistair MacDougallCompliance

You read it here first – probably! The FCA has finalised new rules around disclosure in relation to sustainability.

28 January 2022 John BeggCompliance

Regulatory references are central to the Senior Managers & Certification Regime (SM&CR). They help firms make informed decisions about the

2 November 2021 John BeggCompliance

Occasionally, we come across firms that are ‘Principal Firms’ – i.e. the firm has Appointed Representatives (AR) but where one

21 September 2021 Lisa CrossCompliance

The FCA has published an update on the timescales and delays currently being experienced by firms that submit application for

25 May 2021 Huw ReynoldsCompliance

It has been a busy month for papers and publications at the FCA. These include: New

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