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