New SM&CR Annual Reporting Requirement
Disciplinary action arising from a breach of Conduct Rules must be reported.
SM&CR
SM&CR indicators
Will you be ready for the SM&CR review when it comes?
Extension of implementation period for SM&CR
The date for certifying staff has been deferred in light of the current health emergency.
SM&CR training
During a recent workshop, the FCA commented on SM&CR training. They do not believe that some e-learning or short generic […]
Appointed Representatives and the FCA Directory
A reminder that ARs should be included as Directory Persons.
COVID-19 latest FCA updates
The FCA's expectations in relation to COVID-19.
SM&CR training
The FCA has stated that SM&CR training should not be generic.
Dear CEO – 2020
The FCA has been busy writing letters in 2020, and it's still only February.
Non-financial misconduct
The FCA has issued a Dear CEO letter to wholesale general insurance firms concerning non-financial misconduct. This has potential implications […]
Invisible advisers
Advisers no longer appear on the FS Register. What are the implications?