FCA Platform

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 4.9.8RJames Patel8 Aug 202619d
Due soon
Regulatory Change Log: quarterly review
smcr
SYSC 4.1.1RJames Patel18 Aug 202629d
Due soon
Compliance Monitoring Programme: annual review
smcr
SYSC 4.1.1RJames Patel2 Sep 202644d
On track
Individual Conduct Rules training: all staff
smcr
COCON 2.1.1REleanor Wright17 Sep 202659d
On track
Annual Responsibilities Map review
smcr
SYSC 4.9.4REleanor Wright17 Oct 202689d
On track
Suitability Assessment Framework review
smcr
COBS 9A.2.1REleanor Wright17 Oct 202689d
On track
Statement of Responsibilities: annual review
smcr
SYSC 4.9.7REleanor Wright16 Nov 2026119d
On track
Suitability Report Template review
smcr
COBS 9.4.1REleanor Wright16 Nov 2026119d
On track
Complaints handling procedures review
smcr
DISP 1.3.1REleanor Wright16 Dec 2026149d
On track
Client Categorisation review
smcr
COBS 3.3.1REleanor Wright16 Dec 2026149d
On track
Training and Competence scheme review
smcr
TC 2.1.1RJames Patel15 Jan 2027179d
On track
Insurance mediation disclosure review
smcr
ICOBS 4.1.1REleanor Wright15 Jan 2027179d
On track
Annual Fitness and Propriety assessment
fitness and propriety
FIT 1.3.1GEleanor Wright14 Jun 2027329d
On track