Overview On 2 June 2020, the FCA published Policy Statement PS 20/5, setting out final rules and guidance following its Consultation CP...
In our previous blog we highlighted some key questions that Senior Management Function holders (SMFs) may wish to consider as they...
As firms and their workforces continue to adapt to largely unanticipated risks and challenges, as well as new ways of working, the...
The Conduct Rules and regulatory references are aimed at increasing individual accountability which is at the heart of the Senior...
On 9 December 2019, 47,000 Financial Conduct Authority (FCA) solo regulated firms became subject to the Senior Managers and Certification...
On 13 June 2019, the FCA addressed a Dear CEO letter to Wealth Management and Stockbroking firms setting out its view of the key risks of...