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Do I have to provide a Regulatory reference for my staff?

Firms which are regulated by the FCA must respond to a request for a regulatory reference as soon as reasonably practicable.[1]  The FCA expects that, in normal circumstances, a firm would issue a reference within six weeks of being asked to do so.[2]

[1] SYSC 22.2.2R(1)

[2] SYSC 22.5.17G

Everything you wanted to know about SM&CR - but were afraid to ask!

New to SMCR – or need a hand getting up to speed withj SMCR compliance? This guide will help you understand and implement every part of the SM&CR. You’ll learn, amongst other things:

  • How firms are classified.
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  • The Responsibilities of a Senior Manager.
  • Conduct Rules & how they apply to your role.
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