Oct 19 – The gift of SM&CR

BY IN Article On 19th November 2019

The FCA’s best ever Christmas present With the FCA’s Senior Manager & Certification Regime (SM&CR) due to be extended across financial services businesses from 9 December 2019, I would have expected more noise from small to medium sized advice firms [...]

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Nov 19 – Remember, Remember the 9th of December

BY IN Article On 19th November 2019

This is the magic date when we migrate from the Financial Conduct Authority’s Approved Persons regime to the new Senior Managers regime.  Further changes will occur during 2020 when firms will have to complete activity to comply with the new [...]

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Nov 19 – Goldilocks forgets the porridge

BY IN Article On 19th November 2019

After a process as long as Brexit, the FCA has finally coughed up its new affordability rules to deal with the trapped borrower issue.  The call for inputs on its Mortgages Market Study was in October 2015, followed by the [...]

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Nov 19 – SM&CR one month to go – are you ready?

BY IN Newsflash On 11th November 2019

Act now to consider and introduce the changes that might be needed to ensure that your firm prepares for the introduction of SM&CR on 9th December   [...]

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NOV 19 – FCA Directory

BY IN Newsflash On 6th November 2019

In July 2018 the FCA consulted on the introduction of the Directory, a new public register which will make information available on individuals carrying out certain roles in financial services.   [...]

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NOV 19 – SM&CR Q&A updated

BY IN Newsflash On 6th November 2019

Further to our previous newsflash in September sharing AMI’s Senior Manager and Certification Regime FCA Q&A document, following recent discussions with the FCA, we are pleased to share an updated document that firms may find useful in their SMCR preparations. [...]

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