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Search results with tag "Solo regulated firms"
The Senior Managers and Certification Regime: Guide for ...
www.fca.org.ukFinancial Conduct Authority The Senior Managers and Certification Regime: Guide for FCA solo-regulated firms 1 Introduction How this guide will help you This guide is a summary of our rules and guidance on the Senior Managers & Certification Regime (SM&CR). It provides an overview of how the SM&CR works and what firms need to do under the new ...