IDD – are you ready?
Are you well-positioned or are you crossing your fingers hoping that the Economic and Monetary…
Browsing: Regulatory Specialist
Extending SM&CR – The devil in the details
We have all now had a couple of months to enjoy the consultation papers published…
SM&CR – Accountability 2 – the costs of an “appropriate” response.
So the proposed details of the Accountability 2 regime are out there and firms now…
Certification and SPS – when two worlds collide
Since the Retail Distribution Review (RDR) all Retail Investment Advisers must obtain a Statement of…
Appropriate Qualification Exam Standards must reflect changing markets, product types and lifestyle needs
The FCA’s training and competence regime helps to protect consumers by ensuring that staff working…
Client reviews
This is quite a hot issue. The FCA has undertaken a thematic review, following RDR,…
MiFID II, SMCR, FEMR – The push for competent employees
Over the last few years, the financial services industry has been presented with a series…
MiFID II – implications
With the recent election now behind us and the Brexit negotiations likely to drag on…
MiFID II: Are you prepared?
After ten years of extensive revision, debate and delays, the revised Markets in Financial Instruments…
Adapting firms’ culture to meet the needs of the FCA Certification Regime
Introduction of the FCA’s new Accountability Regime continues apace. The one-year Transitional Period for issuing…