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The creation and maintenance of handover materials is a key responsibility of senior managers under the Senior Managers and Certification Regime (the “SM&CR”). If you
Ashkan Zahedian was the director of Vast Cars Limited which had been approved by the FCA in January 2013. However, in a completely non-work-related context,
The Consumer Duty applies proportionately, based on what is reasonable in the circumstances.
The FCA’s Financial Lives 2020 survey showed that in February 2020 46% of UK adults (24.1 million people) had characteristics of vulnerability.
The Senior Managers & Certification Regime (SM&CR) as well as the Senior Manager Conduct Rules establish clear senior management responsibility for complying with the requirements
A key part of the Consumer Duty is that firms assess, test, understand and are able to evidence the outcomes their customers are receiving. Without
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.
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