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Senior Managers Regime

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FCA cancels authorisations

The UK’s Financial Conduct Authority (FCA) has issued its latest “Regulation Round Up” (see here). The document discusses enforcements against authorised firms who have not complied with all of the requirements. It mentions that over 200 authorisations have been cancelled this year. This issue is also refereed to in this article on the FT web … Continue reading

Senior Managers Regime to be extended

The UK’s Financial Conduct Authority has announced a plan to extend the existing Senior Managers and Certification Regime to more firms, and also to extend the rules within the regulation. The rules will now apply to most firms who are under financial regulation. The rules themselves will be extended in three categories: Conduct rules – … Continue reading