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…
Correctly identifying the nature of the challenge helps us to understand what we need to…
The Senior Manager & Certification Regime(SM&CR) is now over six months old and many senior…
Show us your policy and we will be on our way By now everyone should…
During 2015/16 the focus of mortgage firms has been firmly fixed on those aspects of…
The arrival of the Financial Conduct Authority (FCA) in April 2013 heralded the new FCA…
In 2013 the government signalled a tougher Training and Competency (T&C) regime for regulated financial…
The current Consultation Paper from the FCA and PRA covering the introduction of the new…
Advisers will remember a time when the Compliance Officer was probably the person you would…
In August, a report was released which looked into levels of UK household debt. The…
We’re all familiar with TC 2.1.12 in which the FCA state that a firm must…