RegulationJan 30 2024

Regulatory references under SMCR: what you need to know

  • Describe the regulatory references process
  • Identify what steps are taken
  • Explain when an individual can opt out
  • Describe the regulatory references process
  • Identify what steps are taken
  • Explain when an individual can opt out
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Approx.30min
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CPD
Approx.30min
Regulatory references under SMCR: what you need to know
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First introduced for banks and insurers in March 2017, regulatory references are now a requirement for all firms regulated by the Financial Conduct Authority and Prudential Regulation Authority, under the senior manager and certification regime.

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