The FCA has issued new indicators for assessing fitness and propriety and conduct rule training. While this is expressly addressed to solo-regulated firms, it is of clear interest to all firms which are subject to the Senior Managers & Certification Regime (SMCR) as it sets out specific criteria by which the FCA would assess the effectiveness of the firm’s processes.
All firms subject to SMCR should review their conduct rule training arrangements and fitness and propriety assessments in light of this new guidance. We are holding a webinar on this topic on Wednesday 23 September at 13:00 to discuss the challenges and practical implications of the guidance, taking into account employment legal issues.
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