Focusing only on delivery deadlines for FCA regulatory requirements could be a costly strategy
The FCA still haven’t confirmed timelines for SMCR/Accountability 2 for all Financial Services Sector firms…
Browsing: Regulatory General
GDPR – assessing the impact in our world
Penalties of up to €20m or 4% of total worldwide annual turnover of the preceding…
The Insurance Distribution Directive
This is just another of the tsunami of rules being introduced in 2018, alongside MIFID…
What are you doing to prepare for the Senior Managers Regime?
This has been a popular question on recent FCA visits. With the deadline for Accountability…
Getting the Senior Manager & Certification Regimes ‘over the line’ – Learning from the banking sector
The new SM&CR Regimes are aimed at bringing greater transparency and individual accountability into the…
Individual Accountability – Extending the Senior Managers and Certification Regime to all FCA Firms
My reaction to the ‘Accountability 2’ Consultation Paper (CP17/25) is one of initial relief that…
The paper is out and it’s time for action!
After months of speculation and delays, the CP for the extension of the Senior Managers…
Extending the Senior Managers & Certification Regime
The FCA has issued two consultation papers on their proposals to extend the Senior Manager…
The role of T&C in a firms’ culture
Firms should have a culture that is both generic to the industry that we work…
IDD – what’s it all about?
The Insurance Distribution Directive (not to be confused with the Initial Disclosure Document!) will replace…