Jacqui Hughes, of KPMG, discusses the impact of SMCR on DFMs. One of the main questions I get in most discussions around the Senior Managers and Certification Regime (SMCR) is whether or not firms ...
It’s been over a month since the senior managers and certification regime landed on 9 December, so what do you need to really focus on now? The important thing for firms to remember is that rolling ...
A number of asset managers currently categorized as core firms under the U.K. Senior Managers and Certification Regime (SMCR) may be recategorized as falling within the enhanced firms SMCR regime. The ...
Turning Tides in FCA SMCR Enforcement: Easier Targets, Non-Financial Misconduct, Changing Priorities
The Situation: The Financial Conduct Authority ("FCA") is extending the Senior Managers and Certification Regime ("SMCR") to FCA solo-regulated firms on 9 December 2019 and has also released a number ...
Some results have been hidden because they may be inaccessible to you
Show inaccessible results