Pragmatic and practical or disparate and dangerous? The opportunities and perils of SMCR
Like many of you reading this, I have been doing the rounds at several SMCR events…
Browsing: Regulatory Specialist
The SM&CR and the Consumer Credit Sector
Firms have had some considerable now to digest the FCA’s proposals to extend the Senior…
FCA business plan 2018/19
In their latest business plan the FCA (Financial Conduct Authority) have identified 7 priorities for the…
Regulation and compliance b******s
As the number of “GDPR (General Data Protection Regulations) compliant” privacy notices in my inbox long…
Learning from the leavers
Usually a leaver’s debrief is left to the firms’ HR department, if the firm has…
MiFID II – Knowledge and Competence – Getting to grips with the new requirements
After what seems like an age, MiFID II finally came into force on 3rd January…
SMCR – what’s really happening?
It’s nearly two years since the FCA launched SMCR and SIMR. The intention was to…
Intelligent Accountability – Reasonable Steps to Managing Culture
Jonathan Davidson, Director of Supervision at the FCA gave a speech back in September 2017,…
All T&C Roads Lead to Reasonable Steps
In times gone past T&C has been regarded as a bit niche or as people…
IDD – are you ready?
Are you well-positioned or are you crossing your fingers hoping that the Economic and Monetary…