Welcome CMCs to the fold
It was no April Fools Day joke for claims management companies (CMCs) as the FCA…
Browsing: Regulatory General
GDPR: One year on
During the first quarter of 2018 we were inundated as consumers with an acronym that…
FCA Business Plan 2019/20
Recently, the FCA published its business plan for the coming year. This makes interesting reading.…
Is MiFID II having the desired impact?
MiFID II brought an overhaul that aimed to increase transparency, reduce costs for investors and…
Claims management becoming FCA regulated – The impact on people’s roles
It has been estimated that there were about 500 claims management companies (CMCs) when the…
The Senior Managers and Certification Regime – it’s all about the preparation
As everyone in the industry will be well aware by now, the Senior Managers and…
How to conduct a FIT assessment
The Senior Managers and Certification regime (SM&CR) was introduced in 2015 and has been in…
Operational resilience
A number of high profile data breaches have put operational resilience at the top of…
Education, education, education
I have read some interesting articles recently regarding education for advisers and these have raised…
Danger -Potent Conduct Rules; handle with care
At a recent SMCR (Senior Managers & Certification Regime) conference that I attended, an interesting…