Category: Senior Managers & Certification Regime

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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 …