Tag Archives: Senior Managers

Coronavirus: FCA Senior Managers & Certification Regime

Posted on April 20, 2020 by Alice Heathfield

The FCA recognises that firms directly affected by coronavirus will have to keep governance arrangements under review and adapt as and when circumstances change due to coronavirus-related events. Senior Managers should be considering what impact the current coronavirus situation may …

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FCA publishes final rules on the SMCR

Posted on July 30, 2019 by Christopher Wilsher

On Friday 26 July the FCA published its final rules on the Senior Managers and Certification Regime; the complete regulations on the extension of the SMCR to FCA solo-regulated firms. The final rules, published on the FCA website, reflect the …

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