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Quantitative Finance · Begrippenlijst

Wat is Senior manager function, statement of responsibilities?

Ook bekend als: senior manager function · statement of responsibilities

Definition 25.4 The Industry: Firms, Roles and Careers · Hoofdstuk 25 — Leadership Roles

A senior manager function is a role that the UK regulators designate as one whose holder must be approved before starting and can be held personally accountable for failures in their area. A statement of responsibilities is the single document that sets out what a senior manager is responsible and accountable for.

Senior management functions that can apply to FCA solo-regulated firms by tier of the regime, from the FCA’s guide (July 2019 update). A firm allocates those that match its structure and activities. Data: firm.roles.SMF_TIERS.
Figure 25.3. Senior management functions that can apply to FCA solo-regulated firms by tier of the regime, from the FCA’s guide (July 2019 update). A firm allocates those that match its structure and activities. Data: firm.roles.SMF_TIERS.
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