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 to weed out …
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 …
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 …