Discipline and dismissal: notification and reporting requirements in financial services
Updating authors: Sam Clyndes and Tom Saville
Brightmine editor: Lilia Dangi
Summary
This guide explains the regulatory obligations under the Senior Managers Regime (SMR) and Certification Regime (CR) for financial services firms in the UK to notify the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) of disciplinary and dismissal matters.
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