Operational resilience
A number of high profile data breaches have put operational resilience at the top of…
Browsing: Regulatory General
Education, education, education
I have read some interesting articles recently regarding education for advisers and these have raised…
SM&CR 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…
SM&CR 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…
SM&CR 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…
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…