Financial advisers will be considered "certified" employees if they don't fill the role of "senior manager" in a firm, according to the Financial Conduct Authority's (FCA) proposals for widening out the senior managers regime.
In its consultation paper published on Wednesday, the FCA outlined three "baseline" elements, which will apply to all regulated financial services firms. These include the senior managers regime, which...
Despite improved risk appetite
FOS award limit increase
Relates to 136 million transaction reports
Ceremony will take place 13 November