SMCR: Getting buy-in from the buy-side
What’s good for the sell-side is good for the buy-side explains Andy Bennett, Head of…
Browsing: Regulatory Specialist
How relevant are your Key Performance Indicators?
Every firm uses Key Performance Indicators to measure how its employees are performing against set…
SM&CR Planning – 5 things you wished you knew, but didn’t know you did not know!
To paraphrase the famous quote from Donald Rumsfeld (Feb 12, 2002)….. “…as we know, there…
What does T&C have to do with asset allocation?
I occasionally still hear the idea that 90% of investment returns are due to asset…
Certification Regime – help and support
Today, 10 December 2018 marks the start of the Certification Regime for Insurers. Banks and…
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…
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…