Regulatory Specialist
When CPD simply is not… CPD
Recently I witnessed what I would consider to be the wrong approach to Continuous Professional Development from both the firm and the individuals themselves.
Andy Snook · 1 Apr 20244 min read
121 articles
Regulatory Specialist
Browse all articles across people aspects of regulation and people development within UK financial services
Regulatory Specialist
Taking on somebody else’s T&C Scheme
Recently I had the opportunity to progress my retirement plans and move to a three-day working week, which meant I moved firms. This of course brought not only new opportunities, but new challenges too.
Andy Snook · 2 Jan 20244 min read
Regulatory Specialist
Unintended consequences
Unintended consequences can be defined as the outcomes of a purposeful action that are not intended or foreseen, and can be applied to regulation, legislation, as well as to T&C Scheme design.
Derek Davies · 2 Jan 20246 min read
Regulatory Specialist
Hard Times
I hope Charles Dickens will forgive me for borrowing my title from one of his books, but it seemed to sum up the position some people will find themselves in, during this coming winter and beyond.
Derek Davies · 2 Jan 20236 min read
Regulatory Specialist
Supporting the supervisor
In the January edition of T-C News I wrote about “Empowering the Supervisor” in which I looked at the role of the Supervisor and the need to put people at the forefront of a T&C Scheme.
Andy Snook · 1 Oct 20224 min read
Regulatory Specialist
Diversity and Inclusion
The FCA has focused on Diversity and Inclusion (D&I), as one of its main goals to change the mix of those working within the financial services industry, especially in senior and board roles. However, it had originally said little about those working directly with clients, or on the role of T&C in all of this.
Derek Davies · 1 Oct 20226 min read
Regulatory Specialist
Technology is the way forward
A few months ago, I authored an article explaining my plans to bring a new solution using technology into my T&C Scheme, which was published in the October 2021 edition of T-C News under the title of “Expanding a T&C Scheme”, which was implemented in January this year.
Andy Snook · 1 Jul 20224 min read
Regulatory Specialist
Raindrops on roses
This month I am focusing on some of my favourite things from my roles, first as an adviser subject to T&C, as a T&C supervisor, and then finally being responsible for multiple T&C schemes.
Derek Davies · 1 Jul 20228 min read
Regulatory Specialist
Training and Competence isn’t going away…
Back in the 1990s, LAUTRO launched Training & Competence for those providing advice to retail customers, introducing the requirements around qualifications and competency.
Lynne Hargreaves · 1 Apr 20223 min read
Regulatory Specialist
Is it worth it?
Like all disciplines and areas of work, T&C changes and evolves over time in response to what the industry and regulators see as the current and emerging risks to customers, and to businesses.
Derek Davies · 1 Apr 20227 min read
Regulatory Specialist
Why you should regularly review and evaluate your competence frameworks
Whether you are a solo regulated firm having completed your first fit and proper assessments or a firm who is subject to the wider Training & Competence, MiFID, or Insurance Distribution Directive (IDD) competence and capability requirements, review and evaluation should be part of your routine practice.
Lynne Hargreaves · 1 Jan 20225 min read
Regulatory Specialist
Empowering the Supervisor
Just what is a supervisor? Well, there are numerous definitions. One I found was “one’s immediate superior in the workplace,” which depends on how you, or they, define the term “superior.
Andy Snook · 1 Jan 20224 min read
