Web8 Feb 2024 · FCA provide guidance on SMF16/17 appointments 8 February 2024 Richard Foster Compliance Firms should have heads of compliance and money laundering reporting officers (MLROs) who are suitably competent and … Web24 rows · In accordance with section 59 (6A) of the Act (Approval for particular arrangements), the FCA designates each function in (1) as a senior management function. … the requirements of SUP 10C.3.10R (Definition of FCA-designated senior … 1 SUP 10C.9 (Minimising overlap with the PRA approved persons regime) explains … SUP_16_ann_18B_01. Chapter: SUP 16 Annex 18B Effective Date: 4th November … 236(1) (for an SMCR firm) FCA controlled function SMF1 in the table of FCA … other overall responsibility function. 74 FCA controlled function SMF18 in the table of … FCA Handbook; Glossary; executive director function ; Table of Contents; Content; … other local responsibility function. 78 FCA controlled function SMF22 in the table of … 197 227 236 FCA controlled function SMF16 in 182 182the table of FCA …
What the FCA expects from heads of compliance and MLRO …
WebGuide for FCA Solo-Regulated Firms Web8 Apr 2024 · Since the SMCR rolled out to solo-regulated firms in December, we’ve had lots of queries about the practicalities of the regulatory references. In short, this obligation means that firms must request a reference for candidates for Senior Manager functions, Non-Executive director positions and for Certification functions, and they must ask for … theatricul chêne bourg
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