The FCA has updated its website with information about firms’ obligations to report conduct rule breaches under the SENIOR MANAGERS AND CERTIFICATION REGIME (SM&CR).
The FCA notifies firms that the reporting window is open from 1 September 2016 to 31 October 2016.
Firms should use Form H to report any breaches where disciplinary action has been taken or commenced during the period from 7 March 2016 to 31 August 2016.
Firms must submit annual data about breaches of the FCA’s conduct rules by those staff to whom the rules apply (other than senior managers).
The FCA confirms that it is mandatory to submit Form H, including nil returns.
Loading...