The increasing focus on Conduct, Culture, and Competence
Trailight continues to see strong growth across business lines.
The FCA recently published an update and reminder about SM&CR for solo-regulated firms with the consultation on extending the Conduct Rules and Directory submissions deadline to 31st March 2021 now closed.
The deadline for solo-regulated firms to have undertaken the first assessment of the fitness and propriety of their Certified Persons has been delayed from 9 December 2020 until 31 March 2021.
A new UK prudential regime for MiFID investment firms
The FCA has published details of the action firms can take where employees are working towards a professional qualification subject to Training & Competence Rules and Guidance
The Global Covid-19 pandemic may have thrust upon us the single largest reason to accelerate corporate digital transformation, and it may be here to stay.
Trailight continues to serve our customers in difficult Global conditions.
Below is some important messaging from the FCA and PRA for Dual and Solo Firms that offers significant flexibility to SM&CR requirements.
As the world responds to the coronavirus, almost every part of the financial market is being stress tested like never before.