Web(FCA SUP 10C.11/PRA: Allocation of Responsibilities) 3.2.1 Please indicate below which of the responsibilities listed are/will be allocated to this individual, if any. Note: the form … WebFCA policy statement Extending the Senior Managers & Certification Regime to FCA firms –Feedback on CP17/25 and CP17/40, and near-final rules Policy Statement PS18/14*** …
SM&CR categorisation for solo-regulated firms
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SYSC 26.4 Exclusions - FCA Handbook
Web30 Aug 2024 · The SM&CR sets a new standard of personal conduct for everyone working in financial services and enhances senior management accountability. Under the SM&CR, all … Web25 Mar 2024 · The SMCR legal function of a firm means an activity of the firm that consists of one or more of the following: (a) the provision of legal advice or assistance to the firm or any member of its group in connection with the application of the law or with any form of resolution of legal disputes; (b) Web1.1 These Sterling Monetary Framework (SMF) Operating Procedures govern participation in the SMF and explain the operational procedures involved. 1.2 All capitalised terms have … mckenzie county nd recorder of deeds