All T&C Roads Lead to Reasonable Steps
In times gone past T&C has been regarded as a bit niche or as people…
Browsing: SMCR
What are you doing to prepare for the Senior Managers Regime?
This has been a popular question on recent FCA visits. With the deadline for Accountability…
Does your culture support SMCR?
What would you say if the regulator asked “Does your culture support the Senior Managers…
Getting the Senior Manager & Certification Regimes ‘over the line’ – Learning from the banking sector
The new SM&CR Regimes are aimed at bringing greater transparency and individual accountability into the…
Extending SM&CR – The devil in the details
We have all now had a couple of months to enjoy the consultation papers published…
SM&CR – Accountability 2 – the costs of an “appropriate” response.
So the proposed details of the Accountability 2 regime are out there and firms now…
Individual Accountability – Extending the Senior Managers and Certification Regime to all FCA Firms
My reaction to the ‘Accountability 2’ Consultation Paper (CP17/25) is one of initial relief that…
The paper is out and it’s time for action!
After months of speculation and delays, the CP for the extension of the Senior Managers…
Introducing our SMCR panel
We are delighted to announce that four representatives from four companies have stepped forward to…
Certification and SPS – when two worlds collide
Since the Retail Distribution Review (RDR) all Retail Investment Advisers must obtain a Statement of…