STOP PRESS: Directory Persons Information
We have received the following from the FCA. ATEB can help firms get over the line – call +44 (0) […]
SM&CR
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.
SM&CR – FCA explainer video
The FCA has issued a video explaining what firms have to do ahead of 31 March 2021.