What’s on the horizon for 2020?
See what 2020 has in store.
SM&CR
SM&CR – sole traders and single directors
Sole traders and Single Director firms might look similar but they are treated differently under SM&CR.
SM&CR forms
Are you aware of all the forms associated with the SM&CR?
SM&CR and Appointed Representatives
What should Principal Firms do in relation to ARs?
SM&CR – are you ready?
9 December is approaching fast - are you ready for SM&CR?
SM&CR – FCA latest
The FCA has issued some further gudance for firms.
SM&CR – Conduct Rules reminder
Firms need to undertake Conduct Rules training before 9 December 2019 for Senior Managers and Certification Staff.
SM&CR – latest FCA podcasts
SM&CR is well on the way. Hear the latest podcasts.
The Financial Services Register and The Directory
Want to know more about upcoming changes to the Register and the introduction of the public facing Directory?
SM&CR – Conduct Rules
The FCA has stated clearly that monitoring firms' implementation of the Conduct Rules will be a key focus in future […]