SM&CR – Is the FCA developing teeth?
Is the FCA developing teeth and beginning to become an enforcer after all? SM&CR has…
Is the FCA developing teeth and beginning to become an enforcer after all? SM&CR has…
The FCA has recently been promoting the use of whistleblowing to root out poor practice…
“It’s not what you know, but who you know”. The 2020s are delivering a significant…
We all love that team member who just gets it. The one who is on…
In this article I want to address the elephant in the room – will the…
The Senior Manager and Certification Regime is yesterday’s news; Senior Managers now duly complete their…
Generally, a T&C Scheme tends to concentrate on the individuals undertaking the work processes, such…
Issues around diversity and inclusion have featured prominently in recent pronouncements from the FCA. The…
In March 2021, the FCA issued FG21/3: guidance on advising pension transfers. You may note…
By the time firms read this article, there will be roughly one month left to…