FCA Prescribed Responsibilities Desk Aid

Length: 1-page | Format: Editable Word/PDF

There are more responsibilities for Senior Managers than just the ones found within each SMF's definition.

The FCA has a list of 'Prescribed Responsibilities' (PRs) that each firm is required to allocate to Senior Managers.

If there is a breach, all Senior Managers sharing that responsibility may be required to demonstrate that they took reasonable steps to prevent or stop the breach.

That's why we've created a desk aid to help.

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FCA Prescribed Responsibilities Desk Aid

How this desk aid helps...

Our desk aid provides a 1-page quick reference guide to PRs.

Our simplified summary descriptions can help those unfamiliar with the system or allow for quick checks whenever you have a change in personnel.

Cut through the noise easily as our guide details whether PRs apply to all firms, just enhanced or fund managers.

Download your free desk aid