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FCA Consultation Paper Survey 2019

1.Were you aware of any FCA consultation papers being undertaken in 2019?(Required.)
2.Did you or your firm respond to any FCA consultation papers in 2019?(Required.)
3.Have you seen the outcome of the consultation papers you contributed to?(Required.)
4.If yes, did the consultation outcome make you feel the time taken was worth the effort?(Required.)
5.If you have contributed in the past to any consultation papers, did you feel that the outcome was already decided?(Required.)
6.Would you be more likely to take part in a consultation if it was overseen and executed by an independent third party?(Required.)
7.Do you think the process of consultation should change?(Required.)
8.Should FCA rules or regulatory structure change without a minimum number of responses being received?(Required.)
9.What is the name of your firm?
10.Does your firm outsource investment decisions?(Required.)
11.The SM&CR is due to be extended to FCA solo-regulated firms including claims management companies (CMCs) from 9 December 2019. Are you fully aware of your new responsibilities under the FCA senior managers regime?(Required.)
12.If you would like more information about the SM&CR, please download the free Nucleus guide at https://nucleusfinancial.com/smcr-whitepaper

The guide covers the senior managers rules, statements of responsibility and annual ‘fit and proper’ assessments and the conduct rules
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