Daily Archives - 1 February 2022

FCA Regulatory Round Up

Claire2022-03-23T16:25:01+00:00

Please see below for the latest from the FCA:

SM&CR regulatory references

Regulatory references are central to the Senior Managers & Certification Regime (SM&CR). They help firms make informed decisions about the fitness and propriety of individuals to whom they intend to assign Senior Management or Certification Functions (or appoint as non-approved Non-Executive Directors). We received feedback on the challenges...