SM&CR Danger -Potent Conduct Rules; handle with care
At a recent SMCR (Senior Managers & Certification Regime) conference that I attended, an interesting…
Browsing: Regulatory General
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…
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…