Is MiFID II having the desired impact?
MiFID II brought an overhaul that aimed to increase transparency, reduce costs for investors and…
Browsing: Regulatory General
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…
GDPR – the first 30 days
So, the most spoken about piece of legislation in many years has finally arrived. GDPR…
The Certification Regime – helping to avoid sleepless nights
Whether you’re already working under the Senior Managers and Certification Regime (SMCR) or are a…
As cybercrime hits record high, how can companies comply with the GDPR?
Cybercrime just keeps on growing. According to the latest figures from the UK Office for…