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Firms
In this section
Tasks for regulated firms
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Approved persons
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Senior managers and certification regime
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Change in control
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Appointed representatives and principals
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Passporting
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Variation of permission
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Cancel an authorisation
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Waivers and modifications
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Capital requirements permissions
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Fees and levies
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Regulatory reporting
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Change of legal status
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Firm details - change and attest
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Authorised and recognised funds
Your business
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Client money and assets
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Financial crime
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Money laundering and terrorist financing
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Whistleblowing
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Training and competence
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Recruiting, training and supervising staff
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Financial incentives
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Remuneration
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External audit requirements
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Compliance and other support
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Reviewing your resources
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Professional indemnity insurance
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Recording telephone calls
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Cyber resilience
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Culture and governance
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Outsourcing and operational resilience
Your customers
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In focus
Our Business Plan 2020/21
Our annual Business Plan gives details of the key priorities and the planned specific activities for the next year.
Our Business Plan 2020/21
Outsourcing and operational resilience
We explain the implications for operational resilience for firms using outsourcing and other third party service providers, and what we expect from them.
Outsourcing and operational resilience
MiFID II
MiFID II could affect a wide range of your firm’s functions – from client services to IT and HR systems.
MiFID II
Senior Managers and Certification Regime
The SM&CR is an opportunity to establish healthy cultures and effective governance in firms by encouraging greater individual accountability
Senior Managers and Certification Regime