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| ''UK financial markets regulation''.
| | == Summary == |
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| (SM&CR).
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| The SM&CR regulates individuals working in financial services.
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| The aim of the SM&CR is to reduce harm to consumers and strengthen market integrity by making individuals more accountable for their conduct and competence by:
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| *Encouraging a culture of staff at all levels taking personal responsibility for their actions; and
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| *Making sure firms and staff clearly understand and can demonstrate where responsibility lies.
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| The SM&CR applies to firms regulated by the Financial Conduct Authority (FCA) and firms regulated both by the FCA and the Prudential Regulation Authority (PRA).
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| ==See also== | |
| *[[Financial Conduct Authority]]
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| *[[FSMA]]
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| *[[Prudential Regulation Authority]]
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| [[Category:Self_management_and_accountability]]
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| [[Category:Financial_management]]
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| [[Category:Ethics_and_corporate_governance]]
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Latest revision as of 09:28, 27 July 2023
Summary
Importing files from local file repository