Senior Management & Certificate Regime

You should all be fully aware that this affects all firms currently regulated by the FCA so not just IFA’s. Last month we provided an overview of SM&CR, but we know some people are better with a presentation.

The FCA have produced a six-minute overview that we would recommend ALL staff see to get an understanding of what it means and what the FCA expect. Please use the following link to access this video:

(Source: FCA)

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