WebDec 8, 2024 · ‘Regulatory references’ (references from other authorised firms) are particularly important. If you're applying for SMF candidates or Non-Executive Directors (NEDs) who aren't Senior Managers, your firm must: get references from all previous employers (regulatory and non-regulatory) in the past 6 years, in line with SYSC 22.7 in … WebFinancial Conduct Authority Handbook Notice No 88 May 2024 1 Overview Legislative changes 1.1 On 27 May 2024, the Board of the Financial Conduct Authority (FCA) …
SUP 10C.6 FCA required functions - FCA Handbook
WebJun 8, 2016 · If the application relates to an SMF (ie it is not for an appointed representative governing function), please also provide the following information: place and date of … WebJul 19, 2024 · The FCA will shortly publish their final rules and update the FCA Handbook. 1.4 The FCA has stated that the aim of the SM&CR is to reduce harm to consumers and … disfraz buhita pj mask
SYSC 26.4 Exclusions - FCA Handbook
WebCompliance oversight function (SMF16) The compliance oversight function is the function of acting in the capacity of a person who is allocated the function in: (for a full … WebJul 19, 2024 · We use a wide range of enforcement powers – criminal, civil and regulatory – to protect consumers and act against firms and individuals that don’t meet our standards. … WebSMF manager. (in relation to an SMCR firm) a person who has approval under section 59 of the Act (Approval for particular arrangements) to perform a designated senior … disfraz buzo mujer