Regulatory focus on behaviour & outcomes. Are you ready?
“A significant part of this debate (Responsibility to act in the public interest) turns on…
Browsing: Regulatory General
SM&CR deadline. Are we there yet?
So here we are on the morning of 9 December 2019. It is a cold,…
SM&CR Final Countdown Approaching
With only 14 working days to go before the SM&CR deadline for solo regulated firms…
Welcome CMCs to the fold
It was no April Fools Day joke for claims management companies (CMCs) as the FCA…
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…
SM&CR FIT assessment – how do you conduct one?
Tony Catt looks at the requirements of how to conduct a FIT assessment under the…