SM&CR

COVID-19 – FCA statement on how firms should handle post and paper documents The FCA published a statement on the 13th May 2020 which sets out its position on the

FCA Expectations Corporate governance is the system of rules, practices and processes by which a company is directed and controlled. For regulated firms, the governance structure is not prescribed, although

The Control Framework is a data structure that organises and categorises a firm’s internal controls. These being practices and procedures which minimise the risks set out in the Risk Register

The FCA clarifies its current position in relation to dealing with complaints in a statement on the 1st May 2020 which will be reviewed in 3 months time. The FCA

The FCA set out its current position in relation to client assets in a statement on the 6 April 2020 as a consequence of queries that it had received from

The Risk Register is a tool for documenting operational risks and actions to manage or control them. It is generally administered by the Chief Risk Officer (CRO) or in small

  On 4 March 2020 the FCA published a statement outlining their expectations as to how firms should respond to the situation we find ourselves in due to the Covid-19

  On 3 April, the FCA published a statement alerting FCA solo-regulated firms of its expectations under the Senior Managers and Certification Regime (SMCR) during the continued COVID-19 situation. Its