SM&CR Planning – 5 things you wished you knew, but didn’t know you did not know!
To paraphrase the famous quote from Donald Rumsfeld (Feb 12, 2002)….. “…as we know, there…
Author Carl Redfern
Carl Redfern
Carl Redfern is the Compliance Director and co-founder of Redland Business Solutions, the market leader in specialist GRC Solutions for the Financial Services industry, for the past 15 years I have spent my time: • Working with Industry Forums, Professional Bodies and Regulators to help to assess the impact and define the requirements of developing regulation. • Designing solutions to support key strategic functions within Compliance, T&C, Conduct Risk, Governance and Operations. • Helping businesses to develop the business case for people, culture and conduct initiatives. Most recently, I have been extensively involved in the development of the SM&CR regimes, working with industry bodies, both regulators and many firms, assessing the implications of the rules and designing specialist solutions to enable efficient and effective implementation. Redland have been voted the Best Solutions Provider – Senior Managers Regime with our specially designed technology solution, Insight SMR, to help firms comply with SM&CR and holistically integrate Certification with wider Culture and Conduct programmes.
SM&CR Danger -Potent Conduct Rules; handle with care
At a recent SMCR (Senior Managers & Certification Regime) conference that I attended, an interesting…
Reasonable Steps to Managing Culture
As key elements of the Accountability regime, Reasonable Steps, the Senior Manager’s Conduct Rules and…
Extending SM&CR – The devil in the details
We have all now had a couple of months to enjoy the consultation papers published…
Individual Accountability – Extending the Senior Managers and Certification Regime to all FCA Firms
My reaction to the ‘Accountability 2’ Consultation Paper (CP17/25) is one of initial relief that…
SM&CR Who is wearing your Cultural ‘Fitbit’?
My 13 year old daughter recently celebrated earning her ‘Skydiver’ badge and is also a…
Your RFP process….. it’s everything and nothing
On the 16th March this year, Andrew Bailey, Chief Executive of FCA, gave a speech…
Extending SM&CR to all Firms – how to tackle a ‘Super Wicked Problem’
Correctly identifying the nature of the challenge helps us to understand what we need to…
‘Norming’ the MMR
The good news is that the mortgage market outlook for 2014 is positively positive! Recent…
Making the case for Case Checking – the next move for T&C
It seems that across the wider Financial Services industry there is a significant surge in…