Calls for FCA to take charge on SMCR harassment rules
Guidance on dealing with misconduct
The SMCR will apply from 9 December 2019
The FCA should publish detailed guidance on how firms handle harassment and sexual misconduct before the regulator considers enforcement under the upcoming SM&CR, a law firm has urged.
The Senior Managers & Certification Regime (SMCR) will apply to asset managers from 9 December 2019, placing upon the sector fresh administrative, regulatory and conduct requirements that banks and other...
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Advisers can defer CPD this year in 'exceptional circumstances' - FCA
Defer to 2021/2022