The FCA has released a Dear CEO letter for financial advisers around the suitability of advice and why he regulator is making this an area of focus for 2020.
Discover the key 5 questions and what you should be doing to answer them.
Under SM&CR how will your assessment of staff fitness & propriety hold up under FCA scrutiny?
One of the last pieces of the SM&CR jigsaw has been put in place with the publication of the FCA’s Policy Statement PS19/20.
The FCA issued a reminder to all firms that are affected by the extension of the SM&CR, which comes into force on the 9th December 2019.
The scope of the Senior Managers and Certification Regime is huge and the impact on the financial services industry can’t be under estimated. You just have to speak to the firms already under SMCR. Find out how we can support you with your SMCR projects, no matter what stage you are currently at.