The Fine Print
Pragmatic thoughts on the law and legal practice.
Showing posts with label
approved persons
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Showing posts with label
approved persons
.
Show all posts
Monday, 11 March 2019
Preparing for the FCA's Senior Managers & Certification Regime (SM&CR)
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The FCA has published its finalised guidance on statements of responsibilities (SoRs) and responsibilities maps for FCA firms under the ...
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Monday, 18 February 2019
Time To Get Excited About... The SM&CR!
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The FCA has produced a webpage to explain the extension of the "Senior Managers and Certification Regime" (SM&CR) from ban...
Wednesday, 27 September 2017
FCA to Regulate All Employees Of Financial Firms
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The Financial Conduct Authority is consulting on the extension of its "Senior Managers and Certification Regime" (SM&CR) t...
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