Bowen Wang

Bowen Wang

Morrison & Foerster LLP

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SM&CR for Solo-Regulated Firms: Are You Ready?

The UK regulatory Senior Managers and Certification Regime (SM&CR) came into force in March 2016 to replace the UK Financial Conduct Authority (FCA) Approved Persons Regime (APR) for firms that are subject to dual regulation...more

10/24/2019  /  Financial Conduct Authority (FCA) , Prudential Regulation Authority (PRA) , Senior Management Regime (SMR) , Senior Managers , SMCR , UK
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