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FCA and PRA regulatory reference rules
David Fenton

13 June 2017

From 7 March 2017, the FCA placed a duty on all full scope regulatory reference firms (mainly banks, building societies and insurers) currently part of either the Senior Managers and Certification Regime (SM&CR) or Senior Insurance Managers Regime (SMIR) (relevant firms) to ensure that certain staff, including contingent workers or volunteers, meet the fit and proper regulatory standard.

FCA business plan 2017/18
David Fenton

FCA Business Plan 2017/18 – trends and implications for regulated firms and markets.

David Fenton

Partner, Co-Head of Financial Services

David co-leads the UK Financial Services Practice at RSM. His areas of expertise span a broad range of investment and trading businesses. These include asset & wealth managers, broker/dealers, prop traders, retail and institutional stockbrokers, investment banks and Fintech. David also sits on the RSM FCA Section166 skilled persons panel.

Financial services

Our financial services industry experts can guide you through UK or international regulations.

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