Compliance Insights Articles

Jan 30, 2019

Fit and Proper Requirement of SM&CR - What does this mean?

Solo-regulated firms that will be within the scope of the Senior Managers and Certification Regime from the end of this year should...

What Conduct Rules training is required under SM&CR?

Robert Bell

Dec 4, 2018

What Conduct Rules training is required under SM&CR?

With next week marking one year until the roll-out of the Senior Managers and Certification Regime to solo-regulated firms, all affected...

How Claims Management Companies Need to Apply for FCA Authorisation & Implications of SM&CR

Robert Bell

Oct 9, 2018

How Claims Management Companies Need to Apply for FCA Authorisation & Implications of SM&CR

The regulation of Claims Management Companies (CMCs) within England, Scotland and Wales is due to change in 2019, with the Financial...

Is your firm exempt from FCA authorisation under the Financial Services and Markets Act 2000 (Miscel

Victoria Bell

Jan 3, 2018

Is your firm exempt from FCA authorisation under the Financial Services and Markets Act 2000 (Miscel

While most firms need either limited or full permission in order to be able to carry out regulated consumer credit activities, there are...

What you need to know: the new fit & proper requirements in SM&CR

Victoria Bell

Nov 14, 2017

What you need to know: the new fit & proper requirements in SM&CR

The FCA’s proposed extension to the Senior Managers and Certification Regime aims to bring all FCA regulated firms under a single regime,...

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