PIMFA
Resources
The FCA have published guidance and updates for firms - see links below:
- INDUSTRY LINKS
- FG19/2 Senior Managers and Certification Regime - Guidance on statements of responsibilities and Responsibilities Maps for FCA firms
- FG 19/2 summary of feedback received – provides insights into the FCA’s perspective
- PS19/20: Optimising the Senior Managers & Certification Regime and feedback to CP19/4 – Confirms proposals to amend the scope of the client dealing function
- PS18/14 - Extending the Senior Managers & Certification Regime to FCA firms - Feedback to CP17/25 and CP17/40, and near-final rules
- PS18/15 - Extending the Senior Managers & Certification Regime to insurers - Feedback to CP17/26 and CP17/41 and near-final rules
- PS18/16 - Final Guidance: the Duty of Responsibility for insurers and FCA solo-regulated firms
- CP18/19 - Introducing the Directory
- SMCR - Guide for FCA solo-regulated firms
- FCA conduct rules for solo regulated firms (training video for firms)
- REP008: Conduct Rules reporting for solo-regulated firms – The FCA’s annual reporting requirement expects solo-regulated firms (falling under SMCR) to report any disciplinary action taken against individuals who are not Senior Managers for breaches of the Conduct Rules
- SM&CR categorisation for solo-regulated firms – Guidance on different SM&CR categories for solo-regulated firms
