Individual Accountability Regime – What is the Risk?
By the date this article is published, I will have spent over 300 working days…
Browsing: SMCR
Preparing for the Accountability Regime
With the commencement of the new Accountability Regime now less than six months away, could…
In defence of reasonable steps…
The Presumption of Responsibility under the SMR has enjoyed a significant amount of scrutiny and…
Code of Conduct – Bringing it to life
In this article I hope to show some examples of what the new code of…
The new Senior Managers Regime in Banking
Back in July 2014, the FCA/PRA published a consultation paper to the industry (CP14/13 &…
Welcome to the first edition of ‘Certification News’!
Obviously, this statement is ‘tongue-in-cheek’ but it does refer to a serious point. Under the…
Who wants to be a non-executive director of a UK financial institution?
This is not the title of a new game show. Instead it is a question…