EXIT THIS SURVEY FCA Consultation Paper Survey 2019 Question Title * 1. Were you aware of any FCA consultation papers being undertaken in 2019? Yes No Unsure Please comment: OK Question Title * 2. Did you or your firm respond to any FCA consultation papers in 2019? Yes No Unsure Please comment: OK Question Title * 3. Have you seen the outcome of the consultation papers you contributed to? Yes No N/A Please comment: OK Question Title * 4. If yes, did the consultation outcome make you feel the time taken was worth the effort? Yes No N/A Please comment: OK Question Title * 5. If you have contributed in the past to any consultation papers, did you feel that the outcome was already decided? Yes No Unsure N/A Please comment: OK Question Title * 6. Would you be more likely to take part in a consultation if it was overseen and executed by an independent third party? Yes No Unsure Please comment: OK Question Title * 7. Do you think the process of consultation should change? Yes No Unsure Please comment: OK Question Title * 8. Should FCA rules or regulatory structure change without a minimum number of responses being received? Yes No Unsure Please comment: OK Question Title * 9. What is the name of your firm? OK Question Title * 10. Does your firm outsource investment decisions? Yes, outsources to a DFM etc No, manages investment strategy in-house Mix of both Unsure Other (please specify) OK Question Title * 11. The SM&CR is due to be extended to FCA solo-regulated firms including claims management companies (CMCs) from 9 December 2019. Are you fully aware of your new responsibilities under the FCA senior managers regime? Yes No Unsure Please comment: OK Question Title * 12. If you would like more information about the SM&CR, please download the free Nucleus guide at https://nucleusfinancial.com/smcr-whitepaperThe guide covers the senior managers rules, statements of responsibility and annual ‘fit and proper’ assessments and the conduct rules OK DONE