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348 results found

Article

Hill Dickinson LLP | United Kingdom | 27 Nov 2020

Senior Managers and Certification Regime

In the wake of the 2008 financial crisis, parliament and banking regulators took measures to update and improve the Approved Persons Regime (Apr) and…
Article

Morton Fraser | United Kingdom | 16 Oct 2020

SMCR: timeline for solo-regulated firms directory of certified and assessed persons requirements

Such firms are required to submit Directory Person data on the Connect system, the data will then be displayed on the Financial Services Register…
Article

Lexology PRO | Australia, European Union, France, etc. | 9 Sep 2020

What’s trending on Lexology? The top read articles in August

We take a look at the most read Lexology articles in August and explore how Lexology PRO can help transform your legal research.
Article

Taylor Wessing | United Kingdom | 2 Jul 2020

Senior Managers & Certification Regime extension of deadline for solo-regulated firms

On 30 June 2020, the Financial Conduct Authority (FCA) announced that HM Treasury has agreed to delay the Senior Managers & Certification Regime…
Article

CMS Cameron McKenna Nabarro Olswang LLP | United Kingdom | 6 Apr 2020

Senior Managers and Certification Regime (SMCR) expectations during the Coronavirus crisis

The PRA and FCA have set out their regulatory expectations for both dual and solo-regulated SMCR firms impacted by Covid-19, recognising that firms…
Article

Macfarlanes LLP | European Union, United Kingdom | 17 Feb 2020

The FCA and alternative fund managers in 2020: regulatory priorities

On 20 January, the Financial Conduct Authority (FCA) published its latest “Dear CEO” letter to alternative fund managers setting out its supervisory…
Article

Bryan Cave Leighton Paisner LLP | United Kingdom | 10 Feb 2020

Telling tales out of school: when do you report low level misbehaviour to the FCA?

Under the Senior Managers and Certification Regime (“SMCR”), firms are required to identify and report to the FCA any instances of disciplinary action…
Article

Clyde & Co LLP | United Kingdom | 9 Dec 2019

The SMCR and FCA conduct rules could create problems for London Market firms

MGAs and other intermediaries may struggle to manage the complexities of the recently introduced Senior Managers and Certification Regime (SMCR) and…
Article

TLT LLP | United Kingdom | 9 Dec 2019

New Years resolution: embrace the SM&CR

One of the biggest regulatory changes since the financial crisis - the Senior Managers & Certification Regime (SMCR) - is being extended to the…
Article

Kingsley Napley | United Kingdom | 6 Dec 2019

UK's Senior Managers And Certification Regime - All Change On 9 December?

On 9 December 2019 the Senior Managers and Certification Regime (SMCR) will be extended to FCA solo-regulated firms including many firms in the…
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