MiFID II – Knowledge and Competence – Getting to grips with the new requirements
After what seems like an age, MiFID II finally came into force on 3rd January…
Author Peter Griffiths
Peter Griffiths
Account Director at WorkSmart I am passionate about helping Worksmart's customers develop their alignment with the FCA's regulation and guidance on best practice. Hot topics on customers' agendas at the moment are complying with the new rules on Strengthening Accountability in Banking (IAR) and the developing a response to the FCA's focus on T&C and QA for all customer facing staff including sensitive communities like complaints handlers and recoveries teams.
Getting the Senior Manager & Certification Regimes ‘over the line’ – Learning from the banking sector
The new SM&CR Regimes are aimed at bringing greater transparency and individual accountability into the…