Danger -Potent Conduct Rules; handle with care


At a recent SMCR conference that I attended, an interesting question was put to the speakers from FCA. They delivered a briefing about SMCR and consistent with all FCA speakers on the subject for the last 12 months or so, they started by talking extensively about the Conduct Rules. FCA are stressing the implementation of the Conduct Rules above the other elements of the Accountability II Regime every time they give a talk. First time…

To access this content you need to be logged in with the relevant membership.


About Author

Carl Redfern is the Compliance Director and co-founder of Redland Business Solutions, the market leader in specialist GRC Solutions for the Financial Services industry, for the past 15 years I have spent my time: • Working with Industry Forums, Professional Bodies and Regulators to help to assess the impact and define the requirements of developing regulation. • Designing solutions to support key strategic functions within Compliance, T&C, Conduct Risk, Governance and Operations. • Helping businesses to develop the business case for people, culture and conduct initiatives. Most recently, I have been extensively involved in the development of the SM&CR regimes, working with industry bodies, both regulators and many firms, assessing the implications of the rules and designing specialist solutions to enable efficient and effective implementation. Redland have been voted the Best Solutions Provider – Senior Managers Regime with our specially designed technology solution, Insight SMR, to help firms comply with SM&CR and holistically integrate Certification with wider Culture and Conduct programmes.

Leave A Reply