Tag Archives: senior managers regime

Apr12

Remedies for a Healthy Patient II

Like the links in an apparently never-ending chain, the FCA’s Asset Management Market Study has now produced a Policy Statement (PS 18/8) (PS18/8: Implementing asset management market study remedies and changes to our Handbook – feedback to CP17/18 and final …
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Posted in: Assessment of Value, Asset Management Market Study, Competition, FCA, Senior Managers Regime
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Jan15

The Vintage of 2018

2018: HNY The relief of passing MiFID Day is palpable. After so long, it is hard to remember life before MiFID II was ‘just round the corner’. Now we have turned the corner and it is behind us. So, what …
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Posted in: Asset Management Market Study, EU, MiFID, Senior Managers Regime, UCITS
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Dec21

SMCR: not the whole story

  Almost all the attention paid recently to SMCR has focused on the in-force date and features of the transition (CP17/40: Individual accountability: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime | FCA). Both are important …
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Posted in: Senior Managers Regime
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