Senior Managers and Certification Regime - transfer of firms and individuals

In its second consultation (CP17/40) relating to extending the Senior Managers and Certification Regime (SM&CR), the FCA has set out how it plans to move firms and their senior management over to the new regime. In a related consultation (CP17/42) it is also consulting on how it plans to apply the Duty of Responsibility in relation to senior managers.

The FCA has two ongoing consultations which relate to the extension of the SM&CR i.e.

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