T&C Schemes -The absent assessor
Times are changing and more and more firms seem to be adapting their T&C schemes…
Yearly Archives: 2017
SM&CR – Accountability 2 – the costs of an “appropriate” response.
So the proposed details of the Accountability 2 regime are out there and firms now…
Individual Accountability – Extending the Senior Managers and Certification Regime to all FCA Firms
My reaction to the ‘Accountability 2’ Consultation Paper (CP17/25) is one of initial relief that…
SM&CR The paper is out and it’s time for action!
After months of speculation and delays, the CP for the extension of the Senior Managers…
Certification and SPS – when two worlds collide
Since the Retail Distribution Review (RDR) all Retail Investment Advisers must obtain a Statement of…
Extending the Senior Managers & Certification Regime
The FCA has issued two consultation papers on their proposals to extend the Senior Manager…
SM&CR Who is wearing your Cultural ‘Fitbit’?
My 13 year old daughter recently celebrated earning her ‘Skydiver’ badge and is also a…
Appropriate Qualification Exam Standards must reflect changing markets, product types and lifestyle needs
The FCA’s training and competence regime helps to protect consumers by ensuring that staff working…
SM&CR Struggling to make sense? -Let’s break it down
In a conference room overlooking the 02 earlier this summer, two women sat face-to-face discussing…
Listen up, big boy
It’s always interesting, when you review action plans with delegates as they come back on…