Extending the Senior Managers & Certification Regime


The FCA has issued two consultation papers on their proposals to extend the Senior Manager and Certification regimes across the financial services industry.  The first paper covers most of the firms for whom the regulations will be new.  The second paper focuses upon Insurers who have gone someway to implement the Senior Insurance Managers Regime but are still to tackle the requirements of the Certification Regime and The Code of Conduct. The FCA has set…

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The consequences of interpreting regulation incorrectly; designing policies, processes and procedures poorly; weak training or inadequate supervision can lead to poor consumer outcomes, no return on investment or possible regulatory intervention. I provide services and support for people aspects of regulation and people development for UK based financial services companies. My clients include banks, building societies, product providers, networks and other larger financial services companies. My specialities include: Regulated Training & Competence T&C Health Checks and Audits Competency frameworks and schemes Conduct Risk, culture and TCF Leadership, management and supervisor development Coaching Competence assessments Development of T&C Capability in Firms Certification & Code of Conduct Health Checks Consultancy and support in connection with any of the above elements.

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