Web2 Jan 2024 · Catherine oversaw the HR, ESG and Real Estate teams and was certified as a Senior Management Function (SMF18) and an FCA Controlled Function (Material Risk Taker) under the UK Financial... Web13 Apr 2024 · In the enforcement context, SMCR investigations constitute a rising proportion of all FCA investigations and we expect to see more concluded outcomes against senior individuals within the next 12-18 months.
FINCO Search - SMF16 SMF17 Compliance and Risk Search
Web25 Mar 2024 · The SMCR legal function of a firm means an activity of the firm that consists of one or more of the following: (a) the provision of legal advice or assistance to the firm or any member of its group in connection with the application of the law or with any form of resolution of legal disputes; (b) WebUnder the Senior Managers and Certification Regime, Mr Abarca held SMF18 (Other Overall Responsibility) from 7 March 2016 to 9 August 2024. As CIO of TSB , Mr Abarca was accountable for TSB’s information technology and IT business continuity planning. trotheme
The Senior Managers Regime - Pinsent Masons
WebAn accomplished and high-achieving commercial leader with experience leading proposition innovations, delivering customer growth, and developing organizational vision and … Web3 Feb 2024 · On 28 February 2024, the FCA published a new webpage to assist in firms’ assessment of candidates for the roles of head of compliance or money laundering reporting officer (MLRO). Each of these roles is a Required Senior Management Function under the SMCR. Web7 Mar 2016 · FCA has created a bespoke SMF (29) as the Limited Scope Function (which should be allocated to the person who currently holds CF8 – apportionment and … trothed pyrethrum blear