A Regulatory Evolution: The story of SM&CR and a view on why it does and will continue to matter
When the Senior Managers and Certification Regime (SM&CR) was first introduced in the wake of…
Browsing: Regulatory General
Why the FCA must rethink its proposed changes to CPD
In May, the Financial Conduct Authority (FCA) launched a consultation (CP25/12) proposing to scrap the…
“Trust Me, I’m Compliant”: Why compliance is critical to consumer confidence
In the world of financial advice, trust is everything. It brings clients through the door,…
Re-examining the business case for Consumer Duty
The latest set of studies from the FCA about the effectiveness of embedding Consumer Duty…
The cost of Compliance: Financial regulation’s impact on small advisory firms
The financial advisory landscape in the UK has witnessed significant regulatory evolution in recent years.…
AI – automated eyes and ears to augment human advice
One of the biggest worries for advisers in client meetings is the possibility of missing…
How has Consumer Duty affected compliance supervision?
The Consumer Duty was introduced to set new, higher standards for firms to adhere to,…
Why FCA-regulated firms can’t skip audits: It’s more than just ticking boxes
Financial services firms, especially those operating under the watchful eye of the Financial Conduct Authority…
Guidance on the treatment of Politically Exposed Persons
In July of this year, the FCA launched a review of how regulated firms treat…
Regulators playing catch up with AI governance
Artificial intelligence (AI) is the simulation of human intelligence processes by machines. It is a…