Preparing for the Senior Managers and Certification Regime
The SM&CR applies to all FCA regulated firms from December 2019.
SM&CR
FCA announces details of the ‘Directory’
The Directory is intended to make it easier for the public to get information about firms and individuals.
Compliance Oversight (CF10) Obligations and Accountabilities
Obligations and Accountabilities
Asset Management Market Study
In light of MiFID II this is worth revisiting
Senior Managers Regime
This will be extended to all firms during 2018 and has some significant impacts.