The Financial Conduct Authority (FCA) has confirmed those who hold the Client Dealing Function must be 'certified' under the incoming SM&CR rules - but there is some confusion as to where paraplanners will stand.
The Senior Managers & Certification Regime (SM&CR) will consist of three tiers: senior managers, certified employees, and then the rest of financial services employees, who will be subject to conduct rules....
Following Bailey's BoE role
40 complaints in less than a week
lang cat and Schroders speak about PROD
Caroline Siarkiewicz has been appointed as chief executive of the Money and Pensions Service (Maps) after seven months in the position on a temporary basis.
Following 2019 acquisition
14 claims against it