Directory Persons data submission deadline
As you will be aware, all firms with Directory Persons must have certified / assessed their staff and submitted the relevant information to the FCA to ensure they remain compliant with FCA regulatory requirements before 31 March 2021.
Update on SM&CR – FCA expectations for solo-regulated firms (18 December 2020)
The Financial Conduct Authority (FCA) has today shared an update on its Senior Managers and Certification Regime (SM&CR).
FCA Conduct Rules Training explainer video
Today FCA have published an SM&CR video on Conduct Rules training for solo regulated firms on their website and have asked us to share it with you. The short 90 second video can be accessed here.
FCA to launch enhanced Financial Services Register
In a news story today, FCA have published their plans to replace the existing Financial Services Register with an enhanced Financial Services Register later this month.
Senior Managers and Certification Regime (SM&CR) and the coronavirus (Covid-19) ‘ FCA’s expectations of solo-regulated firms
FCA has now set out their expectations to help solo-regulated firms apply the SM&CR. The full statement can be found here.
FCA issues work-related travel guidance and responsibilities of Senior Managers (SMs)
Yesterday FCA issued some guidance on how firms should prioritise who should need to travel to work and the responsibilities of SM’s in doing so. The announcement says: