Are you ready to conduct your SM&CR orchestra?
I have been trying to come up with an analogy that best describes a scenario…
Author Jeff Abbott
Jeff Abbott
I provide consultancy and support to UK based financial services companies helping them to design and implement practices that develop their people, achieve their business goals and comply with the needs of the regulators. I specialise in T&C, competence assessment and conduct which may be of particular interest to companies as they address the requirements of the Certification Regime and Code of Conduct requirements. My specialities include: Knowing you have a business to run Valuing your people as your greatest asset Keeping things simple, practical and relevant Engaging the business to promote ownership Ensuring Compliance is a natural by product of doing things well
October packages announced
Here are details of three special packages we are running in October. You can attend…
Assessing Competence – Best Practice
OBJECTIVES Examine the 4 stage assessment process, methods of assessment, rules and types of evidence,…
Defining competence to perform a skills gap analysis
OBJECTIVES To examine the meaning of competence and how it might differ from professionalism. To…
FIT and Proper Assessments- What the rules tell us
This is a 20 minute video OBJECTIVES To work through the regulations that govern a…
SM&CR deadline. Are we there yet?
So here we are on the morning of 9 December 2019. It is a cold,…
SM&CR Final Countdown Approaching
With only 14 working days to go before the SM&CR deadline for solo regulated firms…
SM&CR Coffee Time Briefing
Objectives To walk through the background to the increased accountability, regulations, to identify the key…
The Certification Regime Scope
Objectives To examine the regulations relating to the scope of the Certification Regime and how…
SMCR (Senior Management & Certification Regime) Hotspots
Objectives To take a closer look at the impact of the SM&CR regulations to identify…