It’s all about conduct
Enough time has elapsed post RDR for the UK Wealth Management industry to start taking…
Browsing: Regulatory Specialist
‘Facts are stubborn things, but statistics are more pliable’
Hannah and Will have reputations that go before them. Hannah is a senior manager in…
Consumer credit – taking the long term view
A huge proportion of my working life, and that of my colleagues, is spent speaking…
New Certificate in International Trade Finance launched
In March 2014, an updated version of a leading qualification for international trade professionals was…
Suitability Reports -Too much information?
Sometimes you can be doing something that you do every day, and then one day…
CPD- Moving with the mobile times
Has Continuing Professional Development, or CPD, overtaken RDR as the adviser’s acronym of doom? How…
Establishing appropriate oversight and governance for your T&C arrangements
Firms that are large enough for line management and functions, such as Human Resources, Compliance…
How is your T&C culture?
‘….if culture is left to its own devices, it shapes itself with the inherent risk…
Extending SM&CR to all Firms – how to tackle a ‘Super Wicked Problem’
Correctly identifying the nature of the challenge helps us to understand what we need to…
SM&CR – What every SMF should be asking their employer
The Senior Manager & Certification Regime(SM&CR) is now over six months old and many senior…