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.
SM&CR
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
Papers galore!
It has been a busy month for papers and publications at the FCA. These include: New
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