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…
Browsing: Regulatory General
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…
SM&CR 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…
Aspects of the extending increased accountability regulations across the industry
Just because… as an industry do we never learn? We did exactly the same with…
Ensuring T&C is built-in, not bolted on to your business
Since 2013 and the introduction of the FCA there has clearly been a greater emphasis…
AF7, AF8 and beyond
In October 2016, the CII announced that it was replacing AF3 – an old favourite,…
The Certification Regime – an introduction
Jeff Abbott looks at the increased accountability regulations focusing on the certification regime and what…