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 Patel18 Jun 202619d
Due soon
Regulatory Change Log: quarterly review
smcr
SYSC 4.1.1RJames Patel28 Jun 202629d
Due soon
Compliance Monitoring Programme: annual review
smcr
SYSC 4.1.1RJames Patel13 Jul 202644d
On track
Individual Conduct Rules training: all staff
smcr
COCON 2.1.1REleanor Wright28 Jul 202659d
On track
Annual Responsibilities Map review
smcr
SYSC 4.9.4REleanor Wright27 Aug 202689d
On track
Suitability Assessment Framework review
smcr
COBS 9A.2.1REleanor Wright27 Aug 202689d
On track
Statement of Responsibilities: annual review
smcr
SYSC 4.9.7REleanor Wright26 Sep 2026119d
On track
Suitability Report Template review
smcr
COBS 9.4.1REleanor Wright26 Sep 2026119d
On track
Complaints handling procedures review
smcr
DISP 1.3.1REleanor Wright26 Oct 2026149d
On track
Client Categorisation review
smcr
COBS 3.3.1REleanor Wright26 Oct 2026149d
On track
Training and Competence scheme review
smcr
TC 2.1.1RJames Patel25 Nov 2026179d
On track
Insurance mediation disclosure review
smcr
ICOBS 4.1.1REleanor Wright25 Nov 2026179d
On track
Annual Fitness and Propriety assessment
fitness and propriety
FIT 1.3.1GEleanor Wright24 Apr 2027329d
On track