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Is the FCA developing teeth and beginning to become an enforcer after all? SM&CR has been part of the regulatory…
The FCA has recently been promoting the use of whistleblowing to root out poor practice and the resultant potential for…
“It’s not what you know, but who you know”. The 2020s are delivering a significant update to that seemingly timeless…
We all love that team member who just gets it. The one who is on the same page as you,…
In this article I want to address the elephant in the room – will the mixed model work for you?…
The Senior Manager and Certification Regime is yesterday’s news; Senior Managers now duly complete their Annual Certifications and follow their…
Generally, a T&C Scheme tends to concentrate on the individuals undertaking the work processes, such as advisers and para-planners, whilst…
Issues around diversity and inclusion have featured prominently in recent pronouncements from the FCA. The regulator has become increasingly concerned…