23 June 2022 The third anniversary of the Senior Management and Certification Regime (SM&CR) is fast approaching. It’s not a red-letter day, but with the passing of another year, it seems like a good time to ask if your certification …
8 June 2021 The FCA is often criticised for authorising individuals with ‘interesting histories’ and yet, in the same breath, for taking so long to approve applications. Factual evidence would suggest these criticisms are fair. The FCA should do more …
16 September 2019 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 …
26 July 2018 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 …