SM&CR and the leaders of the future
The recent introduction of the Senior Managers and Certification Regime (SM&CR) makes high-calibre leadership more…
Browsing: Opinion
2020 -The cost of compliance failure, regulators are coming!
So 2020 is here – a new decade, a new way or same old? From…
Is the end of PPI the end of CMCs?
I never thought I would be writing about Payment Protection Insurance [‘PPI’] in this magazine,…
Starting out or polishing up?
To get, and keep, a job you typically need a repertoire of technical and soft skills. Whilst our Industry demands…
Who is the ACD and why do they matter to retail investors?
If you are investing in a pension or hold a stocks and shares ISA the…
As another exam season approaches
As the next exam season approaches you may be asking yourself the following questions: Where…
FCA actions mean busy times for regulated firms
The first half of 2019 has been an extraordinarily busy time for the FCA. So…
When a PROD in the right direction is required
I heard a very interesting anecdote a couple of weeks ago about a large asset…
FCA vulnerability enforcement action
A timely reminder for all regulated firms to re-focus on improving culture within businesses The…
Action Learning – NHS Masterclass
As a chartered financial adviser, how many conversations have you had about AA and LTA…