AlignedComply

Senior Managers Regime Obligations

Every obligation Northcote Wealth Advisers Ltd carries under the Senior Managers and Certification Regime, derived from the firm's Senior Manager Function selections.

Total
13
Overdue
0
Due soon
2
On track
11
ObligationHandbookNamed holderDueDaysStatus
FCA regulatory reporting sign-off
regdata
SYSC 24.2.6RJames Patel22 Nov 202619d
Due soon
Regulatory Change Log: quarterly review
smcr
SYSC 6.1.1RJames Patel2 Dec 202629d
Due soon
Compliance Monitoring Programme: annual review
smcr
SYSC 6.1.3BRJames Patel17 Dec 202644d
On track
Individual Conduct Rules training: all staff
smcr
COCON 2.1.1REleanor Wright1 Jan 202759d
On track
Annual Responsibilities Map review
smcr
SYSC 24.2.1REleanor Wright31 Jan 202789d
On track
Suitability Assessment Framework review
smcr
COBS 9A.2.1REleanor Wright31 Jan 202789d
On track
Statement of Responsibilities: annual review
smcr
SUP 10C.11.20REleanor Wright2 Mar 2027119d
On track
Suitability Report Template review
smcr
COBS 9.4.1REleanor Wright2 Mar 2027119d
On track
Complaints handling procedures review
smcr
DISP 1.3.1REleanor Wright1 Apr 2027149d
On track
Client Categorisation review
smcr
COBS 3.3.1AREleanor Wright1 Apr 2027149d
On track
Training and Competence scheme review
smcr
TC 2.1.12RJames Patel1 May 2027179d
On track
Insurance mediation disclosure review
smcr
ICOBS 4.1.2REleanor Wright1 May 2027179d
On track
Annual Fitness and Propriety assessment
fitness and propriety
FIT 1.3.1BGEleanor Wright28 Sep 2027329d
On track