The Money Laundering Reporting Officer (MLRO)This Practice Note provides information on the role of the nominated officer and the Money Laundering...
Financial Conduct Authority—Principles for Businesses (PRIN)This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial...
Second charge mortgage regimeSecond charge mortgages definedA regulated second charge mortgage is a loan secured on a borrower’s property that is used...
Financial Conduct Authority—objectives and principlesThe role of the FCAThe Financial Conduct authority (FCA) forms part of the regulatory structure...
Conduct Rules for SM&CR FirmsOverviewThe Conduct Rules are one component of the broader Senior Managers & Certification regime (SM&CR), regulating qualifying individuals in the financial services sector. The Conduct Rules set minimum standards of individual behaviour in financial
Preparing a regulatory business plan—guidelinesIntroduction to the FCA authorisation processPreparing an application for Financial Conduct Authority (FCA) authorisation is a challenging task. Many documents must be prepared and sent to the FCA for their consideration. While different types of
SM&CR—FCA and PRA Fitness and Propriety requirementsThe Senior Managers & Certification Regime (SM&CR) is the Financial Conduct Authority’s (FCA) and Prudential Regulation authority’s (PRA) framework for regulating individuals in the financial services sector. The SM&CR applies to
Contract requirements for appointed representativesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the UK’s withdrawal from the EU. Following IP completion day, key transitional arrangements come
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