Tag: SMR
Thank FCAUK!!
On 23 January 2019, the FCA published Consultation Paper CP19/4*** “Optimising the Senior Managers & Certification Regime and feedback to DP16/4 – Overall responsibility and the legal function” (the “Consultation Paper”). The consultation period closes on 23 April 2019, with a Policy Statement slated for Q3 2019 and a ‘go live’ date for the new […]
Heads on the Block – FCA Consults on Extension of Senior Managers Regime
Introduction On 26 June 2017, the FCA published its consultation paper, “Individual Accountability: Extending the Senior Managers & Certification Regime to all FCA firms”. The deadline for responses is 3 November 2017. In future, if they are to sleep easily, all Senior Managers will have to be able to prove that they have taken […]