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News
Nick Railton-Edwards

SM&CR Forms finalised for now

On 22 January 2021, the PRA published a policy statement (PS21/1) on updates to SM&CR

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January 26, 2021 No Comments
Analysis
Michael Beaton

PRA takes stock of the SM&CR (and the lessons we can learn)

On 16 December 2020, the PRA published its “Evaluation of the Senior Managers and Certification

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December 22, 2020 No Comments
News
Michael Beaton

FCA and PRA signal that life is returning to normal under the SM&CR

On 18 December 2020, the FCA and PRA published updated statements on the impact of

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December 21, 2020 No Comments
Uncategorized
Anthony Wilkinson

Compliance management solutions vs compliance consultancies

We all know that the Senior Managers and Certification Regime (SM&CR) is complex, with multiple

Read More »
December 10, 2020 No Comments
Uncategorized
Michael Beaton

FCA proposes clarification to rules around long term leave for Senior Managers

On 4 December 2020, the FCA published its Quarterly Consultation (No 30). One of the

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December 8, 2020 No Comments
Uncategorized
Michael Beaton

FCA Directory goes live

On 23 November 2020, the FCA confirmed on its website that the FCA Directory had

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November 24, 2020 No Comments
News
Michael Beaton

SMF1 responsible for Covid Compliance

On 9 November 2020, the FCA published an update on “Workplace arrangements and work-related travel”

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November 10, 2020 No Comments
News
Michael Beaton

FCA drives home the fact that fitness and propriety involves non-financial conduct

On 5 November 2020, the FCA published final notices banning three individuals (all financial advisers)

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November 9, 2020 No Comments
News
Michael Beaton

FCA officially confirms SM&CR extensions

On 28 October 2020 the FCA published policy statement PS 20/12.  This formalises the extension,

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October 29, 2020 No Comments
News
Michael Beaton

FCA Confirms Directory Deadlines

On 27 October 2020, the FCA updated its SM&CR webpage dealing with the FCA Directory.

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October 28, 2020 No Comments
News
Michael Beaton

FCA bans IFA directors for not being fit and proper

On 12 October 2020, the FCA published two final notices banning two individuals (Peter Howson

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October 22, 2020 No Comments
News
Michael Beaton

FCA Directory data – taking away the pain

From 9 December 2020 the FCA will start publishing data relating to “Directory Persons”*. A

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October 19, 2020 No Comments
News
Michael Beaton

FCA Updates Directory Guidance

FCA Directory publication to begin from mid-December 2020 On 12 October 2020, the FCA updated

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October 13, 2020 No Comments
News
Michael Beaton

No excuses – FCA nudges Senior Managers about looming responsibilities

Yesterday, the FCA published its “Regulation round-up” for September 2020 – touching upon the SM&CR

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September 18, 2020 No Comments
News
Michael Beaton

Conduct Rules Breaches Reporting to begin on 2 November 2020

On 13 August 2020, the FCA published a new webpage on “Conduct Rules reporting for

Read More »
August 17, 2020 No Comments
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