VIDEO FIT and Proper Assessments – What the rules tell us
OBJECTIVES To work through the regulations that govern a FIT and proper assessment under the…
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
VIDEO FIT and Proper Assessments – what the rules tell us
OBJECTIVES To work through the regulations that govern a FIT and proper assessment under the…
VIDEO Assessing Competence – Best Practice
OBJECTIVES Examine the 4 stage assessment process, methods of assessment, rules and types of evidence,…
VIDEO Defining Competence to perform a skills gaps analyis
OBJECTIVES To examine the meaning of competence and how it might differ from professionalism. To…
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…
SMCR (Senior Management & Certification Regime) Hotspots
Objectives To take a closer look at the impact of the SM&CR regulations to identify…
VIDEO The Certification Regime Scope
Objectives To examine the regulations relating to the scope of the Certification Regime and how…
VIDEO SMCR (Senior Management & Certification Regime) CORE FIRMS
Objectives To work through the increased SMR regulations as they apply to core firms and…