Category: FCA regulations

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New FCA directory regime for advisers

We were pleased to brief readers of Professional Adviser about the need for IFAs to prioritise the submission of data for the new ‘FCA Directory of certified and assessed persons’ which is going live later this year under the SM&CR. You …

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The Certification Regime – Who this affects within your firm

Who needs to read this- Senior Management Retail Investment Advisers Mortgage Advisers Training and Competence Supervisors The Certification Regime With a lot of the awareness quite rightly on the SMCR currently, we wanted to really focus on the Certification component …

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FCA confirms near final rules for SM & CR

The Financial Conduct Authority (FCA) has published a series of papers explaining how it plans to implement the Senior Managers & Certification Regime across all sectors of the financial services industry. At present, the Regime only applies to the banking …