FCA webpage – checklists for solo-regulated firms implementing SM&CR

Industry News | 05/06/19

The Financial Conduct Authority (FCA) has published a webpage containing checklists to assist solo-regulated firms in implementing the Senior Managers and Certification Regime (SM&CR). These checklists bring together information from the SM&CR Guide for solo-regulated firms about what they need to do to implement SM&CR, depending on the firms’ categorisation.