Regulatory Specialist
A brave new world
I think we can all agree that 2020 has seen some significant changes, both in the way that we work, and what we need to demonstrate in our work.
Andy Snook · 1 Jan 20214 min read
121 articles
Regulatory Specialist
Browse all articles across people aspects of regulation and people development within UK financial services
Regulatory Specialist
Whose voice?
Research shows that when people look for someone to do work for them, they make initial choices based on reputation, recommendation or location.
Derek Davies · 1 Jan 20216 min read
Regulatory Specialist
Culture and the role of Training & Competence
It seems to me that everyone who speaks on behalf of the FCA includes at least a reference to culture in their speeches. The leaders of our firms are charged with the responsibility to set the tone of the organisation – they don’t always get it right as the cases of Tidjane Thiam(1), Jes Staley(2)
Vince Harvey · 30 Sept 20205 min read
Regulatory Specialist
Rewind to find
There has been an abundance of articles based on the positives (and occasionally the negatives) that people have identified since the lockdown began in March, including such things as costs savings, time saved, and even being able to go to work in shorts and a tee shirt.
Andy Snook · 30 Sept 20204 min read
Regulatory Specialist
SMCR – Are you ready to conduct your orchestra?
Are you ready to take up the baton to conduct your SMCR orchestra? When helping firms deal with the SMCR (Senior Manager & Certification Regime) regulations you may wish to use this analogy with an orchestra.
Jeff Abbott · 14 Sept 20203 min read
Regulatory Specialist
T&C Scheme framework – How to build your scheme
We are often asked how to build or structure a T&C scheme or framework. To build a robust Training & Competence (T&C) scheme use these framework elements. These are based on both the TC sourcebook and industry best practice. You should try to satisfy all the indicators within each element.
Jeff Abbott · 1 Sept 20207 min read
Regulatory Specialist
Certification Regime – steering through lockdown
In this article Julie Pardy from Worksmart takes a closer look at how firms might deal with the requirements of the certification regime whilst under lockdown. It has been said a thousand times, but these are times like we’ve never known before.
Julie Pardy · 30 Jun 202010 min read
Regulatory Specialist
T&C – the new ‘normal’
When I agreed to write this article at the end of April we had been in lockdown for just over a month and I was looking forward to a fairly swift exit – a trip to France booked in late May beckoned.
Vince Harvey · 30 Jun 20204 min read
Regulatory Specialist
SM&CR -Performance Management and Certification – should two become one?
Compliance and HR are often very separate functions within the average financial services sector firm. They are viewed very differently by employees and management teams alike. One has the heft of the regulatory risk stick whilst the other often uses the carrot of career development and remunerative reward to consolidate further its role and purpose.
Neil Herbert · 31 Mar 20205 min read
Regulatory Specialist
Organisational Culture and your T&C scheme
If you were asked a question about what your T&C scheme says about your organisational culture it would be understandable that your initial response would be ‘at least we have one!’. Remember under TC2.1.
Jane Pitt · 31 Mar 20205 min read
Regulatory Specialist
SM&CR Day 2 requirements going forward
Bea Stafford looks at the compliance requirements going forward from SM&CR day 2 The Senior Manager and Certification Regime (SM&CR) is well underway now with the deadline of 9th December 2019 having passed.
Bea Stafford · 1 Jan 20206 min read
Regulatory Specialist
SM&CR -Senior Moments
It may have seemed as though it was a long time coming, but it’s finally here, and the first deadline has already passed. I’m talking, of course, about the new Senior Managers and Certification Regime (SM&CR) which formally started on December 9th, 2019.
Claire Aynsley · 1 Jan 20204 min read
