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UK Financial Conduct Authority Continues Focus on Diversity and Inclusion

The UK Financial Conduct Authority (FCA) has recently announced that it is considering adding a sixth question on diversity and inclusion (D&I) to its five conduct questions (5CQs). The significance of D&I has long been...more

SMCR: Full Implementation for Solo-Regulated Firms Delayed to 31 March 2021

The UK Financial Conduct Authority recently published Policy Statement 20/12, which sets out the final rules on the extension of the Senior Managers and Certification Regime implementation deadlines for the certification...more

SM&CR and COVID-19: UK Regulators’ Expectations

The UK Financial Conduct Authority and Prudential Regulation Authority have published statements setting out their expectations of dual-regulated and solo-regulated firms on their senior managers and certification regime...more

UK Financial Conduct Authority Publishes Final Rules on Extending SMCR to Solo Regulated Firms

Following its consultation earlier this year, the UK Financial Conduct Authority has now published a policy statement setting out its final rules for extending the Senior Managers and Certification Regime to solo-regulated...more

FCA Issues Final Guidance on Key Issues Ahead of SMCR Extension

The Financial Conduct Authority (FCA) has recently published its final guidance on statements of responsibilities, responsibilities maps, and its policy statement on the new FCA directory for financial services workers, ahead...more

SMCR Extension: FCA Publishes ‘Near Final’ Rules, Sets Implementation Date

The Financial Conduct Authority and Prudential Regulation Authority published policy statements on 4 July on the extended Senior Managers and Certification Regime, setting out near final rules for solo-regulated firms and...more

UK SMCR vs APR: Criminal Record Checks and the FS Register in the New Accountability Era

The Senior Managers and Certification Regime (SMCR), which came into force in March 2016 for UK banks, PRA-designated investment firms, and UK branches of foreign banks, changes the way in which individuals working in...more

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