Why you should regularly review and evaluate your competence frameworks
Whether you are a solo regulated firm having completed your first fit and proper assessments…
Browsing: Regulatory Specialist
Empowering the Supervisor
Just what is a supervisor? Well, there are numerous definitions. One I found was “one’s…
T&C Naughty or Nice List?
Is my T&C Scheme on the naughty list? It’s that time of year when letters…
Covid Considerations
As I write, deaths from Covid-19 are averaging just under 200 per day in the…
What’s in a name?
The short answer is a lot. For those that have read Romeo and Juliet you…
Expanding a T&C Scheme
There may come a point in time when you need to expand your T&C Scheme,…
Why is training and competence still the poor relation?
The Senior Manager and Certification Regime is yesterday’s news; Senior Managers now duly complete their…
Don’t forget the Supervisor
Generally, a T&C Scheme tends to concentrate on the individuals undertaking the work processes, such…
Who Manages the Managers?
Having run supervision workshops for so many Senior Managers over the years, I would be…
Is bigger better?
One of the tasks undertaken as part of the supervisory process for advisers is a…