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…
Browsing: Regulatory Specialist
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…
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…