Papers galore!
It has been a busy month for papers and publications at the FCA. These include: New
SM&CR
STOP PRESS: Directory Persons Information
We have received the following from the FCA. ATEB can help firms get over the line – call +44 (0)
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
FCA publications on Consumer Investments
The FCA has published three papers giving an insight on what the regulatory focus has been and is likely to
FCA – Update on SMR and CF (AR) applications
Approvals are currently taking longer than normal.
FCA – Certification Regime considerations for all firms – Annual Certification
Make sure you meet the SM&CR deadlines.
SM&CR and coronavirus: FCA expectations for solo-regulated firms – December 2020 update
Updates to be aware of ...
FCA reminder of SMCR Implementation
Firms are reminded of the requirements and deadlines for implementing the SM&CR.