Conduct rules – easy as 1,2,3 (4,5) right?…
Why do we need conduct rules? Should people working in financial services already be acting…
Browsing: SMCR
Delays to SM&CR implementation deadline gives firms time
Delays to SM&CR implementation deadline gives firms time to ‘level-up’ with technology. Many firms will…
SM&CR rules -Senior Management & Certification Regime – update
In April 2020, the FCA and PRA set out the expectations to help dual-regulated firms…
Regulatory visits and meetings during Covid-19
The UK financial regulators are busier than ever. They are in contact with firms on…
SMCR – Are you ready to conduct your orchestra?
Are you ready to take up the baton to conduct your SMCR orchestra? When helping…
Certification Regime – steering through lockdown
In this article Julie Pardy from Worksmart takes a closer look at how firms might…
SM&CR -Non-financial misconduct
The FCA opened the new year with a Dear CEO letter entitled “non-financial misconduct in…
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.…
Organisational Culture and your T&C scheme
If you were asked a question about what your T&C scheme says about your organisational…
The FCA Directory – Coming to you in 2020
Julie Pardy from Worksmart cooments on the arrival of the new FCA Directory. The Financial…