SM&CR

STOP PRESS: Directory Persons Information

22 April 2021 Shirley McKenzieCompliance

We have received the following from the FCA. ATEB can help firms get over the line – call +44 (0)

24 March 2021 Huw ReynoldsCompliance

The FCA has advised as follows. “As you will be aware, all firms with Directory Persons must have certified /

9 March 2021 Steve BaileyCompliance

The FCA has been writing to some firms recently with an ‘ACT NOW’ message, stating: “We are writing to you

23 February 2021 Michael SeniorCompliance

March is almost here and Spring is in the air. So probably the last thing you are thinking about is

20 January 2021 Alistair MacDougallCompliance

The FCA has published three papers giving an insight on what the regulatory focus has been and is likely to

13 January 2021 Alistair MacDougallCompliance

Approvals are currently taking longer than normal.

13 January 2021 Alistair MacDougallCompliance

Make sure you meet the SM&CR deadlines.

6 January 2021 Alistair MacDougallCompliance

Updates to be aware of ...

2 December 2020 Alistair MacDougallCompliance

Firms are reminded of the requirements and deadlines for implementing the SM&CR.

28 October 2020 Alistair MacDougallCompliance

The FCA has issued a video explaining what firms have to do ahead of 31 March 2021.