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Aim Two Three


Upcoming events and important deadlines

  • 09 Dec ’20

    • SM&CR deadline

      By this date, all solo-regulated firms must have:

      Trained all relevant staff on the 5 conduct rules and how they apply to their roles

      Ensured that all staff in ‘certified roles’ are fit and proper to perform that role and have been issued with a certificate to that effect

      Submitted data (via Connect) for all ‘directory persons’

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