The Senior Managers & Certification Regime (SM&CR) has been with us for some time now, and as a result expectations are changing. The regulatory focus will be around firms providing assurance around the operational effectiveness of the regime as opposed to achieving initial implementation. For instance, would you be confident if either the FCA or […]
Constant reminders by The FCA on the importance of Culture is challenging leaders of regulated financial firms to move from saying, “We need to measure Culture“ to asking “What are we doing to measure Culture?” But where and how do firms start measuring Culture effectively in 2021? In this FREE 60 minute webinar, Julie Pardy, […]
Operational resilience has been thrust higher up the regulatory agenda over the last 12/18 months as firms and individuals alike have had to completely re-engineer the way they have operated through the Covid crisis. The financial services regulators have for some time now identified Operational Resilience as a cross-sector issue and it has been a […]
Its that time again! Now that the FCA's Business Plan has been issued, the Worksmart team (and guests) will be discussing and debating the critical regulatory topics for firms to consider in 21/22. Under the new leadership of Nikhil Rathi, CEO, this is the first Business Plan published under his leadership, and as such will […]
The Senior Managers & Certification Regime (SM&CR) has been with us for some time now, and as a result expectations are changing. The regulatory focus will be around firms providing assurance around the operational effectiveness of the regime as opposed to achieving initial implementation. The FCA has made it clear that the Senior Manager and […]
With the implementation deadline of the 10th September 2021 having now passed, firms should be considering how they will be managing the Monetary Authority of Singapore (MAS) Accountability Regime as part of their day to day regulatory routines. Join the Worksmart team for a lively and informative session as we consider this newly introduced Individual […]
A healthy corporate culture is key to facilitate an environment in which employee wellbeing thrives and therefore also critical to a company’s success. The concept of culture has now been widely debated within the financial services industry, with firms taking measures in order to address all its components especially during the COVID-19 crisis which posed […]
Just when firms thought they could catch their breath; satisfied that key culture risks had been controlled during COVID-19, they’ve had to quickly turn their attention to meet greater regulatory scrutiny on financial misconduct, get on top of whistleblowing in a hybrid work environment and rethink their approach to diversity and inclusion (D&I). The end […]
Regulation, Data and Tech – How they can work in harmony? The regulatory landscape is changing all of the time. The publication of the Regulatory Initiatives Grid will have brought home to many how ever more complex the regulatory landscape is becoming. As the FCA are developing their plans to become a “Data Led” regulator, […]
It is clear that in these unprecedented times, with some employees having worked from home for 18 months now, technology will continue to play a vital role in enabling firms to maintain the level of service that meets the FCAs Complaints DISP rules. A robust, scalable, web-based complaints solution will allow firms employees (as some […]
The deadline passed in September 2021 for the MAS accountability regime to be implemented and this upcoming webinar is continuing the discussion on how RegTech can help firms meet the principles of this regimes. Join the Worksmart team for a lively and informative session as we consider the Individual Accountability & Competence Regime (IAC) in […]
The Senior Managers & Certification Regime (SM&CR) has been with us for some time now, and as a result expectations are changing. The regulatory focus in 2022 continues to be around firms providing assurance around the operational effectiveness of the regime as opposed to achieving initial implementation. The FCA has made it clear that the […]