People and Regulation
Despite financial services regulation being in place for many years, why do we still have…
Browsing: Regulatory General
SM&CR – Is the FCA developing teeth?
Is the FCA developing teeth and beginning to become an enforcer after all? SM&CR has…
Conduct rules – easy as 1,2,3 (4,5) right?…
Why do we need conduct rules? Should people working in financial services already be acting…
Delays to SM&CR implementation deadline gives firms time
Delays to SM&CR implementation deadline gives firms time to ‘level-up’ with technology. Many firms will…
SM&CR rules -Senior Management & Certification Regime – update
In April 2020, the FCA and PRA set out the expectations to help dual-regulated firms…
Operational Resilience: The tipping point to a better world?
In December 2019, the FCA issued its Consultation Paper (CP19/32) on Operational Resilience. The CP…
Regulatory visits and meetings during Covid-19
The UK financial regulators are busier than ever. They are in contact with firms on…
The Fixated Conduct Authority
As the ancient Chinese curse goes, we are living in interesting times. There is so…
Getting your business “compliance ready” again
With the government’s singular focus on beating Covid-19, thousands of businesses in a state of…
Are you an adviser?
We live in interesting times as financial advisory firms come to terms with the lockdown…