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Posts Tagged ‘Compliance officers’

Senior Manager’s regime an increasing burden for Compliance Officers

Senior managers' regime

London, 13th September 2017 The way investment management firms are required to ensure personal accountability exists in their businesses is changing. The Senior Manager Regime (SMR) has completely overhauled the Approved Persons’ Regime (APR). It is no longer a black box and fund managers are increasingly being called upon for greater transparency by both regulators…

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