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Uk Financial Conduct Authority Proposes To Exclude The Head Of The Legal Function From The Senior Managers Regime - Latest News


UK Financial Conduct Authority Proposes to Exclude the Head of the Legal Function From the Senior Managers Regime

On 23 January 2019 the UK Financial Conduct Authority (FCA) published Consultation Paper CP19/4 which, amongst other things, proposes to exclude the Head of the Legal function from the Senior Managers ... read more

Regulation Round Up - October 2018

The Competition and Markets Authority ("CMA") published a paper that was prepared jointly with the Financial Conduct ... to the proposed temporary permissions regime for inbound firms and funds, which ... read more

Ten things UK/EU compliance officers must do in 2012

In the UK ... that senior managers are fully informed of any and all conduct risks arising. Given the increased focus on conduct risks, firms may wish to split out the MI arising from the analysis of ... read more

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Removing head of legal from the senior managers regime and other changes: new FCA consultation paper CP 19/4

The Financial Conduct Authority (“FCA”) recently released Consultation Paper CP19/4 setting out new measures set to “optimise” the Senior Managers ... now proposed that the Head of Legal will no longe... read more

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