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Solo-regulated Firms to start submitting Certified Persons for the Register

Solo-regulated Firms to Start Submitting Certified Persons for the Register

16 December 2019

With the start of the new Senior Managers Regime, solo-regulated firms can now submit their certified persons for inclusion on the Regulator's register.

From 9th December 2020, solo-regulated Firms are able to submit details of their Certified Persons for appearance on the Financial Services Register in the Directory upheld by the FCA.

Dual-regulated firms such as Banks, Building Societies, Credit Unions and Insurance Companies have already started to submit the data of their Certified Populations and have until the 9th March 2020 in which to do so. Submissions must be made upon the FCA Connect system.

If you are looking to submit your certified persons data to the regulator and would like any advice or assistance on how to do so or any question in relation to the Senior Managers & Certification Regime or would like to arrange bespoke Conduct Training for staff, please do not hesitate to contact our experience and friendly SMCR Regulatory Consultants.

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