Fri, Aug 3, 2018

Mark Turner Published in FT Adviser: FCA Directory Will Bring Much Needed Clarity

Mark Turner, Managing Director in Duff & Phelps Compliance and Regulatory Consulting practice, wrote an article for FT Adviser discussing the latest developments from the Financial Conduct Authority (FCA) regarding the senior managers and certification regime (SMCR), as well as a proposed replacement to the FCA register.

“These latest proposals from the Financial Conduct Authority, with the SMCR ‘near-final rules’ issued, as well as details of a proposed replacement to the FCA Register, should be viewed with optimism by the industry. They add much needed transparency and demonstrate that the watchdog is willing to listen to the concerns and criticisms raised through the consultation process. Most notably, this is highlighted by alterations to the previous suggestions regarding the Directory of financial services workers.”

Read the full article here - FCA directory will bring much needed clarity