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Response to FCA consultation paper CP19/4 on the Senior Manager and Certification Regime

UCL’s Centre for Ethics and Law has issued its response the recent Financial Conduct Authority's consultation (CP19/4)

The response expresses disagreement with the regulatory proposal to exclude the Head of Legal in regulated firms from the requirement to be approved as a Senior Manager by the regulators. The Centre considers, most importantly, that there is a public interest benefit in the Heads of Legal being accountability to the regulators for the promotion of effective risk management and the prevention of wrong-doing within regulated firms.