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SMF16
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FCA publishes application scenarios for SMF
The regulator provides case study examples that point to its evidentiary expectations in connection with senior candidates.
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Navigating the difficult waters of compliance in a time of constant change
The challenges of combining SMF16 and SMF17 – expectations on the heads of compliance and MLROs.
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FCA data clarifies pitfalls for asset management authorizations
The UK regulator recently published a list of common errors it observed from asset management firms applying for authorization or variation of permission.
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Compliance & Conversation: Why is the spotlight on surveillance?
Two leading practitioners shared their thoughts on the role and function of surveillance in changing times.