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 […]
2021 ended with a bang as the value of FCA fines against firms jumped to a staggering £577m, their highest value in six years. But whilst financial penalties might have […]
Expert Insight into D&I, Non-Financial Misconduct, Culture, Certified Person's Regime and much more! Worksmart are proud Gold sponsors of this exciting 1-day event, which encompasses the guidelines around Senior Manager […]
A new Consumer Duty to be introduced by the Financial Conduct Authority (FCA) in July requires firms with retail clients to review almost every aspect of the relationship with their […]
The new Consumer Duty proposed by the FCA will place the responsibilities of a firm to avoid foreseeable customer harm squarely on the shoulders of Senior Managers and board members. […]
Get key insight into reasonable steps, mapping, HR implications and much more! Worksmart are proud sponsors of this exciting virtual event, which is completely focused on the introduction of SEAR […]
In 2022, Wealth Management firms face a daunting schedule of regulatory changes. ESG, Operational Resilience and Consumer Duty are just a few critical areas amongst many others that are competing […]
Now that the FCA's plans for the new Consumer Duty have started to sink in, firms are galvanising their project teams and starting their Gap Analyses. However, whilst there is […]
The newly proposed Consumer Duty of Care (CDOC) is a topic on everyone’s agenda at the moment. With an increased focus on the end consumer and a key consideration being […]
THE WORLD’S LARGEST GATHERING OF REGTECH LEADERS AND INNOVATORS IS RETURNING FOR THIS IN-PERSON EVENT! Remember what connecting in-person is like? The Global RegTech Summit is BACK, and this year […]
SM&CR – not just a cost to your firm but the cornerstone for ensuring ‘conduct, culture and accountability’. No doubt that over the last 18 months you have heard the […]
FCA plan and priorities for 2022/23 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 […]