
Consumer Duty – an opportunity to make valuable change or just another stop on the route to Compliance Fatigue?
It is certainly nearly upon us – Consumer Duty that is – and there can…
It is certainly nearly upon us – Consumer Duty that is – and there can…
The latest is of course the Consumer Duty Rules – which come into effect this…
Compliance and HR are often very separate functions within the average financial services sector firm.…
The SMCR (Senior Managers & Certification Regime) has been in place for dual-regulated firms now…
Firms have had some considerable now to digest the FCA’s proposals to extend the Senior…
The FCA still haven’t confirmed timelines for SMCR/Accountability 2 for all Financial Services Sector firms…
So the proposed details of the Accountability 2 regime are out there and firms now…
What is culture? The Oxford English Dictionary defines it as – ‘The philosophy, practices, and…
Enough time has elapsed post RDR for the UK Wealth Management industry to start taking…
The Senior Manager & Certification Regime(SM&CR) is now over six months old and many senior…