Tag: General Counsel
Thank FCAUK!!
On 23 January 2019, the FCA published Consultation Paper CP19/4*** “Optimising the Senior Managers & Certification Regime and feedback to DP16/4 – Overall responsibility and the legal function” (the “Consultation Paper”). The consultation period closes on 23 April 2019, with a Policy Statement slated for Q3 2019 and a ‘go live’ date for the new […]
Senior Managers Regime: Lawyers Breathe Easier as FCA Clarifies Scope, Sort Of…
Good news for all General Counsels – or at least a stay of execution. On 27 January 2016, the Financial Conduct Authority (FCA) published a statement clarifying its intentions with respect to individuals having overall responsibility for a legal function under the Senior Managers Regime (SMR). Since the publication of its final rules in July […]