FS REG - Legal and Regulatory Consultancy

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

Category: Compliance Training

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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