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Extension of SM&CR implementation period for solo firms

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.

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Delay to F&P Deadline for FCA Solo Regulated Firms

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.

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FCA Discussion Paper DP20/2

A new UK prudential regime for MiFID investment firms

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FCA update on the Qualifications 48-month Rule

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

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SM&CR and COVID-19: Collaborating from home

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.

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Press Release: Q1 2020 and Covid-19

Trailight continues to serve our customers in difficult Global conditions.

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Important FCA and PRA Coronavirus Update for SM&CR

Below is some important messaging from the FCA and PRA for Dual and Solo Firms that offers significant flexibility to SM&CR requirements.

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FCA Update – SM&CR and Coronavirus

As the world responds to the coronavirus, almost every part of the financial market is being stress tested like never before.

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FCA Transforming culture in financial services

DP20/1: Transforming culture in financial services – Driving purposeful culture.

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FCA Quarterly Consultation – March 2020

Important Proposals Announced in FCA in Quarterly Consultation 27