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 Patel25 Sep 202619d
Due soon
Regulatory Change Log: quarterly review
smcr
SYSC 4.1.1RJames Patel5 Oct 202629d
Due soon
Compliance Monitoring Programme: annual review
smcr
SYSC 4.1.1RJames Patel20 Oct 202644d
On track
Individual Conduct Rules training: all staff
smcr
COCON 2.1.1REleanor Wright4 Nov 202659d
On track
Annual Responsibilities Map review
smcr
SYSC 4.9.4REleanor Wright4 Dec 202689d
On track
Suitability Assessment Framework review
smcr
COBS 9A.2.1REleanor Wright4 Dec 202689d
On track
Statement of Responsibilities: annual review
smcr
SYSC 4.9.7REleanor Wright3 Jan 2027119d
On track
Suitability Report Template review
smcr
COBS 9.4.1REleanor Wright3 Jan 2027119d
On track
Complaints handling procedures review
smcr
DISP 1.3.1REleanor Wright2 Feb 2027149d
On track
Client Categorisation review
smcr
COBS 3.3.1REleanor Wright2 Feb 2027149d
On track
Training and Competence scheme review
smcr
TC 2.1.1RJames Patel4 Mar 2027179d
On track
Insurance mediation disclosure review
smcr
ICOBS 4.1.1REleanor Wright4 Mar 2027179d
On track
Annual Fitness and Propriety assessment
fitness and propriety
FIT 1.3.1GEleanor Wright1 Aug 2027329d
On track