FS REG - Legal and Regulatory Consultancy

FS REG provides legal and regulatory advice on corporate, investment funds and financial services matters

Category: Compliance Training

SUMMER COURSE ‘REDAZIONE DI CONTRATTI IN LINGUA INGLESE’

FS REG è lieta di annunciare il lancio del summer course sulla redazione di contratti in lingua inglese. Si tratta…

SUMMER COURSE ON CONTRACT DRAFTING IN ENGLISH

FS REG is pleased to announce the launch of our Summer Course on Contract Drafting in English. It is a…

SMCR ASSESSMENT FORM AND CERTIFICATE OF FITNESS AND PROPRIETY FOR CERTIFIED STAFF

This is a template form to be used by an FCA solo-regulated UK Core SMCR firm to assess the fitness…

FCA RULES APPLICABILITY ANALYSIS: CORPORATE FINANCE FIRMS

This table lists the main rules contained in the FCA handbook and the MiFID Org Regulation (Regulation (EU) 2017/565) that…

APPOINTED REPRESENTATIVE AGREEMENT

This is a precedent appointed representative agreement whereby an FCA authorised firm (the Principal) appoints another person (the Appointed Representative)…

SMCR: TEMPLATE DOCUMENTS FOR UK SOLO-REGULATED CORE FIRMS

FS REG has prepared template documents which contain everything you need to efficiently implement the SMCR at your firm. The…

SENIOR MANAGERS AND CERTIFICATION REGIME: DRAFTING STATEMENTS OF RESPONSIBILITIES

A video on the Senior Managers and Certification Regime and drafting Statements of Responsibilities for Solo Regulated Firms. Disclaimer:  This…

SENIOR MANAGERS AND CERTIFICATION REGIME FOR SOLO-REGULATED FIRMS: EXPLAINED IN 5 MINUTES

A 5 minutes’ introduction to the FCA’s Senior Managers and Certification Regime (SM&CR) for Solo-Regulated Firms. Disclaimer:  This article provides…

COMPLIANCE VIDEOS

FS REG is developing training videos on compliance topics, such as financial crime and money-laundering, intended to address the needs…

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