SM&CR and approved persons regime

SM&CR and approved persons regime guidance:

The following Financial Services practice note provides comprehensive and up to date legal information on Application to perform a PRA-designated Senior Management...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Applications and notifications for approved persons and...

Practice notes

The following Financial Services Q&A provides comprehensive and up to date legal information on As a relevant authorised person (a regulated firm), when do you have to...

Q&As

The following Financial Services practice note provides comprehensive and up to date legal information on Certification Regime for SM&CR firms

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Conduct Rules for SM&CR Firms

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Directory Persons and the Financial Services Register...

Practice notes

Do you have any simplified guidance as to how the Financial Conduct Authority defines a ‘Material Risk Taker’ who could cause significant harm (classified as a Certified...

Q&As

The following Financial Services practice note provides comprehensive and up to date legal information on FCA and PRA Fitness and Propriety requirements...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on FCA—APR controlled functions for benchmark administrators and...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on FCA—Statements of Principle and Code of Practice for Approved...

Practice notes

How will Prudential Regulation Authority (PRA) applications for ‘approved persons’ for non-senior management functions be treated following implementation of the Senior...

Q&As

The following Financial Services Q&A provides comprehensive and up to date legal information on Is a financial adviser required to disclose a previous conviction when...

Q&As

Is there an obligation under the Senior Managers and Certification Regime (SM&CR) for senior managers to undergo either standard or enhanced criminal records or DBS...

Q&As

The following Financial Services practice note provides comprehensive and up to date legal information on Non-executive directors (NEDs) and effective corporate...

Practice notes

The following Corporate Crime practice note provides comprehensive and up to date legal information on Offence of causing a financial institution to fail and other...

Practice notes

The following Employment precedent provides comprehensive and up to date legal information on Policy—regulatory references

Precedents

The following Financial Services practice note provides comprehensive and up to date legal information on Regulatory action against Senior Managers

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Regulatory references under the SM&CR

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Senior Managers and Certification Regime—essentials for SM&CR...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on SIF interviews

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on SM&CR—application to claims management companies...

Practice notes

The following Insurance & Reinsurance practice note provides comprehensive and up to date legal information on SM&CR—application to insurers

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on SM&CR—essentials for solo-regulated firms

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on SM&CR—Management Responsibilities Maps

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on SM&CR—one minute guide

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on SM&CR—policy development and key dates

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on SM&CR—Statements of Responsibility (SoRs)

Practice notes

The following Employment precedent provides comprehensive and up to date legal information on Template for regulatory references given by SMCR firms and disclosure...

Precedents

The following Financial Services practice note provides comprehensive and up to date legal information on The FCA’s expectations around culture in financial services...

Practice notes

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