Insights
Worksmart Blogs
2020 – Well That Wasn’t The Year We Expected, And I’m Not Talking About Covid!
Well, before any of us had even heard of Covid-19, those of us watching and ...
Julie Pardy11/01/2021
Living With SMCR And The Directory- What’s Challenging Firms Right Now?
In recent weeks, Worksmart co-presented webinars on SM&CR for two of our trade association partners. ...
Julie Pardy15/12/2020
A Wake-Up Call For Claims Management Companies (CMC)
The FCA took over responsibility for overseeing the activities of the claims management sector from ...
Julie Pardy13/11/2020
Conduct, Data & Competence – What’s Happening?
Certification, Conduct Rules Training, Directory Data and Conduct Rules Breach Reporting; are you ready and ...
Julie Pardy03/09/2020
“Home Working Is Likely To Increase The Risk Of Conduct Related Issues”
On Wednesday 17th June, 2020, Julie Pardy, Director of Regulation & Market Engagement (Worksmart) joined ...
Peter Griffiths10/08/2020
Worksmart Scoop Four Major Awards
The team at Worksmart are delighted to announce that we have won in four categories ...
Peter Griffiths04/08/2020
SM&CR, The Investment Association & The FCA
On a very hot and sunny Tuesday in June, I was delighted to be invited ...
Julie Pardy03/07/2020
Implementing Certification In Solo-Regulated Firms – The Challenges & Priorities
On Thursday 4th June, 2020, Julie Pardy, Director of Regulation & Market Engagement (Worksmart) joined ...
Julie Pardy29/06/2020
SM&CR professionals pivot for COVID-19, but how confident are they now?
On Thursday 28th May 2020, Philip Allen (Innovate Learn), Adrian Harvey (CEO, Elephants don’t forget) ...
Julie Pardy23/06/2020
PIMFA Virtual Fest – Thriving In Extraordinary Times
The world of work has changed beyond recognition for most of us over the last ...
Julie Pardy11/06/2020
#6 Avoiding Referrals To The Financial Ombudsman Service
In the sixth of our series of guest blogs on key issues for complaints handling, ...
Sarah Lawrence09/06/2020
Pointers For Call Centre Staff & Businesses Facing COVID-19
Flexibility Is Key Life is very different now from what it was just a few ...
Julie Pardy09/06/2020
#5 Achieving Consistency In Complaints Handling
In the fifth of our series of guest blogs on key issues for complaints handling, ...
Sarah Lawrence08/06/2020
#4 Are You Catching All Complaints?
In the fourth of our series of guest blogs on key issues for complaints handling, ...
Sarah Lawrence05/06/2020
#3 The Difference Between A Good & A Great Complaint Handler
In the third of our series of guest blogs on key issues for complaints handling ...
Sarah Lawrence04/06/2020
Polling Results Reveal Pressure At Our SM&CR Virtual Breakfast
On Tuesday 19th May, 2020, Marian Bloodworth (HR Lawyer, Kemp Little) and Julie Pardy, Emma ...
Julie Pardy04/06/2020
Smaller Firms – In The Shadows Or Under The Spotlight?
I’ve heard it said before “The FCA have got bigger fish to fry, they aren’t ...
Julie Pardy26/05/2020
How Firms Should Handle Complaints During Coronavirus
Never has operational resilience been more important 60% of the UK population has suddenly been ...
Sarah Lawrence21/05/2020
COVID-19, SM&CR And Regulatory flexibility!
Pandemic, Senior Manager Accountabilities and flexibility are not really a selection of words that anyone ...
Julie Pardy05/05/2020
#2 Complaints Handling. Meeting Consumer Expectations In A New Decade
In the second of our series of guest blogs on key issues for complaints handling ...
Sarah Lawrence02/03/2020
#1 The Complaints Regulatory Landscape In 2020 – Looking Back To Look Forward
In the first of our series of guest blogs on key issues for complaints handling, ...
Sarah Lawrence02/03/2020
The 5 Reasons Your Senior Manager Will Give You For Doing Nothing And How To Overcome Them
For solo-regulated firms, the SM&CR implementation date has arrived. We’re proud to have successfully prepared ...
Julie Pardy10/12/2019
Managing SM&CR In Recognise
Part of the City of London Group (COLG), Recognise was formed to provide financial services ...
Peter Griffiths21/11/2019
How Moneybarn Developed Their Accredited Staff Induction Programme
Moneybarn began life in 1992 after recognising the need to help everyday people get the ...
Peter Griffiths21/11/2019
The Do’s & Don’t’s Of Delegation
CONCON 4.2 SC1: “You must take reasonable steps to ensure that the business of the ...
Julie Pardy28/10/2019
Interesting Survey Results On The Industry’s Readiness For SM&CR…
We ran our first ever webinar on 30th September and this is what we learnt. ...
Julie Pardy03/10/2019
Employee Competence, Or Is That Knowledge & Competence Or Even Training & Competence?
KNOWLEDGE – “Facts, information and skills acquired through experience or education. The theoretical or practical ...
Julie Pardy23/09/2019
Rising To The Challenge Of The Certification Regime
‘Final call for SM&CR’ – Are you sure your preparations are taking you in the ...
Peter Griffiths10/09/2019
FCA’s SMCR Stocktake Report
45 individuals interviewed across 15 Banking institutions In what has been described by the FCA ...
Peter Griffiths27/08/2019
Is Your Certification Regime All Planned Out? – Part #2
It is always interesting to learn from those that have gone before. In 2015, when ...
Peter Griffiths20/08/2019
Is Your Certification Regime All Planned Out? – Part #1
It is always interesting to learn from those that have gone before. In 2015, when ...
Peter Griffiths12/08/2019
How Fit For Purpose Are Your T&C Arrangements? Part 3
Appropriate and effective competence frameworks have been a regulatory requirement in Financial Services since the ...
Julie Pardy03/04/2019
How Fit For Purpose Are Your T&C Arrangements – Part 1
Training & Competence (T&C) has been a regulatory requirement of the Financial Conduct Authority (FCA) ...
Julie Pardy18/03/2019
SM&CR – Timelines & Component Parts | SMCR Software | Worksmart
This Blog seeks to introduce you to planning for the implementation of the Senior Managers ...
Julie Pardy11/03/2019
SM&CR Implementation Tasks (Part 6) | SMCR Software | Worksmart
Questions & Considerations This blog seeks to continue to help you plan your project for ...
Julie Pardy11/03/2019
SM&CR Implementation Tasks (Part 5) | SMCR Software | Worksmart
What Can you and your firm do now? This blog seeks to continue to help ...
Julie Pardy11/03/2019
SM&CR Implementation Tasks (Part 4) | SMCR Software | Worksmart
What Can you and your firm do now? This blog seeks to continue to help ...
Julie Pardy11/03/2019
SM&CR Implementation Tasks (Part 3) | SMCR Software | Worksmart
What Can you and your firm do now? This blog seeks to continue to help ...
Julie Pardy11/03/2019
SM&CR Implementation Tasks (Part 2) | SMCR Software | Worksmart
What Can you and your firm do now? This blog seeks to continue to help ...
Julie Pardy11/03/2019
SM&CR Implementation Tasks (Part 1) | SMCR Software | Worksmart
What can you and your firm do now? This blog seeks to continue to help ...
Julie Pardy11/03/2019
SM&CR Project tasks & useful tips (Part 3) | Worksmart
This blog seeks to help you plan your project for the implementation of the Senior ...
Julie Pardy11/03/2019
SM&CR Project Tasks & Useful Tips (Part 2) | Worksmart
This blog seeks to help you plan your project for the implementation of the Senior ...
Julie Pardy11/03/2019
SM&CR – Project Tasks & Useful Tips Part One – Resourcing your project
This blog seeks to help you plan your project for the implementation of the Senior ...
Julie Pardy11/03/2019
How Fit For Purpose Are Your T&C Arrangements – Part 2
Training & Competence (T&C) has been a regulatory requirement of the Financial Conduct Authority (FCA) ...
Julie Pardy05/02/2019
SM&CR – Timelines & Component Parts (Solo Regulated) | Worksmart
This Blog seeks to introduce you to planning for the implementation of the Senior Managers ...
Julie Pardy01/02/2019
Tips for Organising A Successful SM&CR Implementation | Worksmart
Like many projects, the most challenging part of implementing the Senior Manager and Certification Regime ...
Julie Pardy15/11/2018
7 Pillars for Managing SM&CR Records Effectively | Worksmart
Literature and philosophy is laden with theories and principles that rely on seven pillars. In ...
Julie Pardy12/10/2018
Simple Checklist For Implementing SMCR In Business | Worksmart
In order to kick start the SMR (Senior Manager Regime) component of your SM&CR (Senior ...
Julie Pardy28/09/2018
Managing SM&CR Records, Why I Should Be Concerned And What Are My Options?
When firms first start planning for the implementation of the new SM&CR regime, they seldom ...
Julie Pardy30/08/2018
SM&CR & Your Wider Governance Arrangements | Worksmart
When applying the new Senior Manager & Certification Regime (SM&CR) to your organisation, the regulator ...
Julie Pardy04/08/2018
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