Senior managers and certification regime - minor changes proposed

The SM&CR is to be extended to all FCA authorised firms from 9 December 2019. This affects all threesixty clients. Most of the detail of the implementation has already been confirmed in previous policy statements and guidance documents issued by the FCA.

A new consultation: CP19/4 - Optimising the SM&CR has been issued which proposes minor changes to some of the provisions in the previous policy statements.

If you’re not a client, to read this content you must sign up or a free guest account

Clients of threesixty are kept up to speed with the latest regulatory, industry and technical developments via our regular news and opinions articles.

As well as being updated via the articles we publish to threesixty online, clients can specify to us what type of articles they want to receive (by category) and how frequently they receive them.

To try this service, simply register your details with us and we'll give you 3 months free and unlimited access to our news and opinions.