The FCA and HM Treasury has agreed to delay, from 9 December 2020 until 31 March 2021, the deadline for solo-regulated firms to have undertaken the first assessment of the fitness and propriety of their Certified Persons (Certification Staff). This delay has been implemented to give firms that have been [...]
On 4 July 2018, the Financial Conduct Authority (“FCA”) released ‘The Senior Managers and Certification Regime: Guide for FCA solo-regulated firms’ on the extension of the Senior Managers and Certification Regime (“SM&CR”) to the all FCA solo-regulated firms authorised under FSMA, as well as EEA and third country branches. Additionally, [...]
Of relevance to: All FCA-regulated firms not currently within the Senior Managers & Certification Regime Key date: Summer 2018 The Financial Conduct Authority (“FCA”) and the Prudential Regulation Authority (“PRA”) currently maintain a public Financial Services Register (“the FS Register”) of the firms they regulate and the individuals they have [...]
Of relevance to: All firms regulated by the Financial Conduct Authority (“FCA”) Key date: Consultation closes 21 February 2018; implementation in late 2018 for Insurers and in mid-to-late 2019 for solo-regulated firms The FCA is consulting on its package of proposals on how firms and individuals will move to the Senior [...]
Of relevance to: Authorised firms, particularly those already subject to the Senior Managers and Certification Regime, including banks, building societies, credit unions and certain large investment banks Key date: Comments to FCA by 5 February 2018 It is to be made clear to all authorised firms and their staff that [...]
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