Category: Senior Managers & Certification Regime

Proportion

SUCCESSFUL SENIOR MANAGEMENT APPLICATIONS

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 …

Proportion

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 …