Regulatory visits and meetings during Covid-19
The UK financial regulators are busier than ever. They are in contact with firms on…
Browsing: SMCR
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…
SM&CR Day 2 requirements going forward
Bea Stafford looks at the compliance requirements going forward from SM&CR day 2 The Senior…
SM&CR and the leaders of the future
The recent introduction of the Senior Managers and Certification Regime (SM&CR) makes high-calibre leadership more…
SM&CR -Senior Moments
It may have seemed as though it was a long time coming, but it’s finally…