T&C Scheme – Learning from the leavers
Usually a leaver’s debrief is left to the firms’ HR department, if the firm has…
Browsing: Regulatory Specialist
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…
Reasonable Steps to Managing Culture
As key elements of the Accountability regime, Reasonable Steps, the Senior Manager’s Conduct Rules and…
SM&CR All T&C Roads Lead to Reasonable Steps
In times gone past T&C has been regarded as a bit niche or as people…
IDD – are you ready?
Are you well-positioned or are you crossing your fingers hoping that the Economic and Monetary…
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…