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The Senior Managers Regime is the aspect of the Senior Managers and Certification Regime (the “SM&CR”) which applies to executives who truly have responsibility for
Under the Senior Managers and Certification Regime (the “SM&CR”), anyone who qualifies as a “Certification Employee” is subject to the Certification Regime. If you have
The purpose of the cross-cutting rules is to provide guidance on the new Principle 12.
As part of the new Consumer Duty rules, a new ‘Principle 12’ will be added to the FCA Handbook.
On the 31st of January 2023, the Bank of England released a Consultation Paper that set out the Prudential Regulation Authority’s (PRA) proposals to extend
On the 31st of Jan 2023, the supervisory teams of the Bank of England, the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA)
General The Consumer Duty applies to the regulated activities and ancillary activities of all firms authorised under the Financial Services and Markets Act 2000 (FSMA),
Under the Senior Managers and Certification Regime (the “SM&CR”), the FCA maintains and publishes a directory of certain assessed people working with financial services (the
The “Conduct Rules” are a set of high-level standards which apply DIRECTLY to almost everyone working within the UK financial services industry. Here’s what you
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